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Full text of "California Code of Regulations, (Vol. 02), Title 2, Administration (Part 1)"

JIL 



Barclays Official 

California 

Code of 
Regulations 



• 



Title 2. Administration 

Complete Title 



Vol.2 



XMOIVISOIM 

* 

\A/EST 



Barclays Official California Code of Regulations 

425 Market Street • Fourth Floor • San Francisco, CA 94105 
800-888-3600 



Barclays Official California Code Of Regulations 

REVISED edition 

This edition of Barclays Official California Code of Regulations, revised on April 1, 1990, has been 
published under the direction of the California Office of Administrative Law which is solely respon- 
sible for its contents. Comments or questions regarding regulations published in this edition should 
be addressed to the State of Cahfornia, Office of Administrative Law, 300 Capitol Mall, Suite 1250, 
Sacramento, CA 95814, (916) 323-6225. Errors reported will be promptly corrected in subsequent 
supplements. 

OFFICIAL PUBLICATION 

Courts are required to take judicial notice of contents of regulations published in the Official Califor- 
nia Code of Regulations (Gov. Code, § 11344.6). Barclays Official California Code of Regulations, 
as revised April 1 , 1990, has been certified by the Office of Administrative Law as the official pubh- 
cation of the State of California for this purpose pursuant to title 1, California Code of Regulations, 
section 190. 

CODE SUPPLEMENTS 

Amendments to the official Code are certified weekly by the Office of Administrative Law for pubh- 
cation by Barclays. These amendments, when certified and published, become part of the Official 
California Code of Regulations, beginning with Register 90, No. 14, dated April 7, 1990, and include 
all reguladons filed with the Secretary of State on or after April 1, 1990. Amendment subscriptions 
to the entire revised Code, or to parts of it, are available from the publisher. For a descriptive bro- 
chure and order form, write Barclays Official California Code of Regulations, P.O. Box 2008, San 
Francisco, CA 94126 or telephone 800-888-3600. 

CODE CITATION 

Cite all materials in the Official California Code of Regulations by title number and section number. 
Example: Title 3, California Code of Regulations, section 432 (Short form: Cal. Code Regs., tit. 3, 

§ 432). 

COPYRIGHT NOTICE 

© 2008, State of California. 

This material may not be commercially reproduced or sold in print or electronic forms without 

written permission of ThomsonAVest. 



• 



TITLE 2. ADMINISTRATION 



NOMENCLATURE CROSS-REFERENCE 



(NOTE: Effective April 1 , 1990, the Office of Administrative Law authorized the renaming of the 
hierarchical headings used within the Titles of the California Code of Regulations. Until the agen- 
cies implement these changes in their regulations, use the following Cross-Reference Table for 
the new organizational headings used in this Title.) 



OLD HIERARCHY REVISED HIERARCHY 

Chapter Division 

Subchapter Chapter 

Group Group 

Subgroup Subgroup 

Article Article 

Section Section 



Title 2 



Administration 



Title Table of Contents 



Title 2. Administration 



Table of Contents 



Page 

Division 1 . Administrative Personnel 1 

Chapter 1 . State Personnel Board i 

Subchapter 1. General Civil Service 

Regulations l 

Article 1 . Definitions i 

Article 2. General Provisions 2 

Article 3. Administration 3 

Article 3.5. Selection Standards 4 

Article 4. Hearings and Appeals 4 

Article 5. Compensation 8.6 

Article 6. Overtime 8.6 

Article 7. Employment Lists 8.6 

Article 8. Examinations 8.7 

Article 9. Promotion 20 

Article 10. Appointments 21 

Article 11. Limited Term Appointments 24.1 

Article 12. Emergency Appointments 24.1 

Article 13. Reinstatement 25 

Article 14. Probationary Period 25 

Article 15. Performance Reports 26 

Article 16. Absences 27 

Article 17. Vacations 27 

Article 18. Sick Leave 27 

Article 18.5. Industrial Disability Leave 27 

Article 18.6. Nonindustrial Disability 

Insurance 27 

Article 19. Transfer 27 

Article 20. Separations from Service 31 

Article 21. Layoff Review 32 

Article 22. Duration Appointments 34 

Article 23. Training 36 

Article 24. Employer-Employee 

Relations 36 

Article 25. Discrimination 36 

Article 26. Mandatory Retirement 36 

Article 27. Discriminatory Employment 

Practices 37 

Article 28. Limited Examination and 

Appointment Program 37 



Page 

Subchapter 1.5. Personal Services 

Contracts 40 

Article 1. Definitions 40 

Article 2. Procedures for Reviewing 
Personal Services Contracts 
Proposed or Entered Into 
Pursuant to Government Code 
§19130(b) 40 

Article 3. Supplemental Procedures for 
Reviewing Personal Services 
Contracts Executed Under 
Either Government Code 
§ 191 30(a) or § 19130(b) 40.1 

Article 4. Procedures for Appealing an 
Executive Officer's 
Decision Approving or 
Disapproving a Contract 
Under Government Code 
§19130(a)or§19130(b)to 
the Board 40.1 

Article 5. Procedures that Apply to 
Review Proceedings for 
Contracts Executed Under 
Government Code § 19130(a) 
or§19130(b) 40.2 

Article 6. Procedures that Apply to 

Contracts Under Government 
Code§19130(a) 40.2 

Subchapter 1.7. Equal Employment 

Opportunity Program 40.6 

Article 1 . State Work Force Data 

Collection and Evaluation 40.6 

Subchapter 1.8. Upward Mobility 40.6 

Article 1 . Definitions 40.6 

Article 2. Upward Mobility Program 
Plans, Goals, and Related 
Procedures 40.7 

Subchapter 2. Career Executive 

Assignment Rules 40.7 

Article 1 . General 40.7 

Article 2. Position Assignment 40.8 

Article 3. Compensation 41 

Article 4. Employment Lists 41 

Article 5. Examinations 41 

Article 6. Promotion 43 



Page i 



(7-18-2008) 



Title Table of Contents BARCLAYS CALIFORNIA 

Page 

Article 7. Appointments 43 

Article 8. Reinstatement 44 

Article 9. Transfer 44 

Article 10. Performance Appraisal 44 

Article 1 1 . Absences 44 

Article 12. Military and Del'ense 

Service 44 

Article 13. Service — General 44.1 

Article 14. Interjurisdictional 

Exchange 44.1 

Article 15. Termination of Assignment 44.1 

Article 16. Separations from State 

Service 44.1 

Article 17. Reinstatement Following 

Termination 44.2 

Subchapter 3. State Personnel Board — 
Conflict of Interest 
Code 44.3 

Subchapter 4. Demonstration Project and 
Performance Based Budget 
Pilot Project Rules 
(Promulgated Under 
Authority of Government 
Code Sections 11808, 
18701, and 19600) 44.4 

Article 1. Demonstration Projects — 
Department of General 
Services 44.4 

Article 2. Demonstration Project — Health 
and Welfare Agency Data 
Center 44.5 

Article 3. Performance Based Pilot 
Projects — Department of 
Consumer Affairs 44.6 

Article 4. Demonstration Project — Multi- 
Departmental 44.7 

Article 5. Demonstration Project — 
Managerial Selection and 
Classification 
Consolidation and 
Broadbanding — Servicewide by 
Departmental Option 44.7 

Article 6. Legislative Counsel Bureau — 
Special Examination and 
Appointment Program 44.8 

Article 7. Department of Motor Vehicles — 
Special Examination and 
Appointment Program 44.9 

Article 8. California Department of 

Transportation 44.9 



CODE OF REGULATIONS 



Title 2 



Article 9. 


Chapter 2. 


Subchapter 1. 


Article 1. 


Article 2. 


Article 3. 


Article 3.5 


Article 4. 


Article 5. 


Article 6. 


Article 7. 


Article 7.5 


Article 7.6 


Article 8. 


Subchapter 2. 


Article 1. 


Article 2. 


Article 3. 


Article 6. 


Article 7. 


Subchapter 3. 



Page 

Demonstration Project — 

Prison Industry Authority 44.9 

Board of Administration of 

Public Employees' Retirement 

System 45 

Employees' Retirement 

System Regulations 45 

General 45 

Administration 45 

Public Employees' Retirement 

System — Conflict of 

Interest Code 48 



Article 1. 



Article 2. 

Chapter 3. 
Subchapter 1. 



Member Home Loan Program 49 

Contracts 50.1 

Member Contributions 52.5 

Service Credit 52.6 

Benefits 52.6 

Normal Retirement Age and 
Bona Fide Separation in 

Service 52.8 

Participation in Risk Pools — 52.8(a) 
Replacement Benefits Plan .... 52.8(b) 

Social Security (OASDHI) 

Regulations 52.8(f) 

General 52.8(0 

Referendum Procedures for 

Local Public Agencies 53 

Division of Retirement 

Systems 54 

Transfer of Members of 

Divided System 55 

Termination Procedures for 

Local Public Agencies 56 

Public Employees' Medical 

and Hospital Care Act 

Regulations 56 

Definitions, Coverage, 
Enrollment, Conversion, 
Minimum Standards, 
Alternative Benefit Plans, 
Contributions, Contingency 
Reserve Fund, Contracting 
Agency Participation and 
Medicare Part B 56 

Prefunding Plan for Health 

Care Coverage for 

Annuitants 66.2 

Department of Personnel 

Administration 67 

General Civil Service 

Rules 67 



Page ii 



(7-18-2008) 



Title 2 



Administration 



Title Table of Contents 



• 



• 



Article 1. 


Article 2. 


Article 3. 


Article 4. 


Article 5. 


Article 6. 


Article 7. 


Article 8. 


Article 9. 


Article 10. 


Article 10.25 


Article 10.5. 


Article 11. 


Article 12. 


Article 12.5. 


Article 13. 


Article 14. 


Article 15. 


Article 16. 


Article 17. 


Article 18. 


Article 19. 


Article 20. 


Article 20.5. 


Article 21. 


Article 21.1. 


Article 21.5. 


Article 22. 


Article 23. 


Article 24. 


Article 25. 


Article 25.5. 


Article 26. 


Article 27. 


Article 27.5. 


Article 28. 



Page 

Definitions 67 

Traveling Expenses 68 

Valuation of Employee 

Housing and Services 81 

Employee Merit Award Board 84 

Compensation 84.4 

Overtime 88.1 

Moving and Relocation 

Expenses 89 

Miscellaneous 

Reimbursement 92.4 

Vacations 94 

Sick Leave 97 

Annual Leave Program 98 

Holidays lOO 

Industrial Disability Leave loi 

Nonindustrial Disability 

Insurance 103 

Industrial Disability 

Retirement 104 

Absences 105 

Performance 108 

Use of State-Owned Vehicles no 

Classification ii4 

Training ii4 

Separations from Service 115 

Reduced Worktime 116 

Layoff and Demotion in 

State Restriction of 

Appointments 119 

Employer-Employee Relations 

for Excluded Employees 120 

Bona Fide Associations 12 1 

Employee Activities 122 

Duration Service 122 

General Provisions 122.1 

Administration 122.1 

Hearings 122.2 

Work and Family Benefits — 
Excluded Employees 122.4 

Employee Benefits — Excluded 
Employees 122.5 

State Deferred Compensation 

Plan 122.14 

PST Retirement Plan 123 

Flexible Benefits 123 



Page 

Article 28.5. Consolidated Benefits 

Program 1 24 

Article 29. Substance Abuse 125 

Subchapter 2. Career Executive 

Assignment Rules 127 

Article 1. Service — General 127 

Article 2. Compensation 127 

Article 3. Termination of Assignment 127 

Article 4. Separations from State 

Service 128 

Division 2. Financial Operations 129 

Chapter 1. Victim Compensation and 

Government Claims Board 129 



Article 1. 
Article 1.1. 

Article 2. 
Article 2.5. 

Subarticle 1. 

Subarticle 2. 

Subarticle 3. 
Subarticle 4. 
Subarticle 5. 
Subarticle 6. 
Article 3. 

Article 3.1. 

Subarticle 1. 
Subarticle 2. 
Subarticle 3. 
Article 4. 

Article 4.1. 
Article 4.2. 

Article 5. 

Article 5.2. 



Subarticle 1. 
Subarticle 2. 



General Provisions 129 

State Board of Control — 

Conflict of Interest Code 129 

Appropriations 129 

General Hearing Procedures 130 

General Provisions 130 

Assignment to Board or 

Hearing Officer 130 

Pre-Hearing Procedure 131 

Hearing Procedure 132 

Prohibited Conduct 134 

Hearing Decisions 135 

Presentation of Claims to 

the Controller 137 

Eligibility of Alien for 

Programs 138 

General Provisions 138 

Ehgibility 140 

Hearings 142 

Presentation of Claims to 

the State Board of Control 147 

Payroll Claims 151 

State Contributions Under 
State Employees' Medical 
and Hospital Care Act 154 

Claims of Persons 

Erroneously Convicted of 

Felonies 154 

Hearings for Indemnification 

of Citizens Benefiting the 

Public and Indemnification 

of Victims of Crime 155 

General Provisions 155 

Pre-Hearing Procedure 1 55 



Page iii 



(7-18-2008) 



Title Table of Contents 



BARCLAYS CALIFORNIA 
Page 

Hearing Procedure 156 

Indemnification of Citizens 
Benefiting the Public 158 

Indemnification of Victims 

of Crime 158 

Payroll Claims 166.6 

State Contributions Under 
State Employees' Medical 
and Hospital Care Act 166.9 

Security Payments to Aged 

and Blind 166.9 

Property Tax Relief 166.9 

Invoice Claims 166.1 1 

Traveling Expenses 166.12 

Moving and Relocation 

Expenses 166.18 

Community Relations Expenses — 

State University and 

Colleges Presidents 166.19 

Community Relations Expenses 

of the Chancellor of the 

California State University 

and Colleges 166.19 

Telephone and Telegraph 

Charges 166.19 

Agents Transporting 

Prisoners, Patients, and 

Wards 166.19 

166.21 

166.21 

Rental Rates for Residences 
of Superintendents of State 
Institutions and Wardens of 
Prisons 166.21 

Employee Merit Award 

Program 1 66.22 

Use of State-Owned 

Vehicles 166.22 

Valuation of Employee 

Housing 166.23 

Meals at State Agencies 166.24 

Bid Protests 166.24 

General Provisions 166.24 

Requirements for 

Submissions 166.25 

Pre-Hearing Procedure 166.26 

Hearing Procedure 166.29 

Prohibited Conduct 166.31 



CODE OF REGULATIONS Title 2 

Page 

Article 18. Relocation Assistance in 
Connection with the 
Acquisition of Real 
Property by State Agencies 166.31 

Article 19. Overpayments 166.31 

Article 20. Miscellaneous 

Reimbursements 166.31 

Chapter 2. State Controller 167 

Subchapter 1. Accounting Procedures for 

Counties 167 

Article 1. General 167 

Article 2. Definitions 167 

Article 3. Funds 167 

Article 4. Balance Sheet Accounts 168 

Article 5. Revenue Accounts 168 

Article 6. Expenditures 169 

Article 7. Account Adjustment Policy 170 

Subchapter 2. Budgeting Procedures for 

Counties 170 

Article 1. General Instructions 170 

Article 2. General Plan 171 

Article 3. Expenditure Detail 172 

Article 4. Special Budget Units 172 

Article 5. Special Funds 173 

Article 6. Special Procedures 173 

Subchapter 2.5. Rules and Regulations to 
Administer 
Reimbursements to 
Counties for the Cost of 
Homicide Trials 173 

Article 1 . General 173 

Article 2. Costs Eligible for 

Reimbursement 174 

Article 3. Costs Not Ehgible for 

Reimbursement 175 

Article 4. Miscellaneous 175 

Article 5. Reimbursement for Court- 
Ordered Expenses of 
Indigent Defendants in 
Capital Cases 176 

Subchapter 3. Accounting Procedures for 

Special Districts 177 

Article 1. General Information 177 

Article 2. Water Utihty Districts 178 

Article 3. Airport Districts 180 

Article 4. Harbor and Port Districts 181 

Article 5. Transit Districts 183 

Article 6. Hospital Districts 186 



Subarticle 3. 
Article 5.5. 

Article 5.6. 

Article 6. 
Article 6.1. 

Article 6.5. 

Article 6.6. 
Article 7. 
Article 8. 
Article 8.1. 

Article 8.5. 
Article 8.6. 



Article 9. 
Article 10. 

Article 11. 
Article 12. 
Article 13. 

Article 14. 

Article 15. 

Article 16. 

Article 16.1. 
Article 17. 

Subarticle 1. 

Subarticle 2. 

Subarticle 3. 
Subarticle 4. 
Subarticle 5. 



Page iv 



(7-18-2008) 



Title 2 



Administration 
Page 

Electric Utility Districts 186 Article 4.5. 

Waste Disposal Districts 188 

Other Districts 190 

Redevelopment Agencies 192 Article 4.7. 

Budgeting Procedures for Article 5. 

Special Districts 193 Subchapter 9. 

General Plan 193 

Minimum Audit 

Requirements and 

Reporting Guidelines for a t' 1 1 

Special Districts 194 

Article 2. 

Tax Collection Procedures . ■ , ^ 

,. ^ . Article 3. 

for Counties 195 

Article 4. 
Forms 195 

Article 5. 
Rules and Regulations a • i a 

Relating to Cahiornia 
Estate Tax 197 Chapter 2.5. 

Imposition of Tax 197 Article 1. 

Definitions 198 Article 2. 

1- . . T- T^ . Article 3. 

Estate Tax Returns 198.1 

Article 4. 
Penalties 198.1 

Deficiency Determination 198.2 Article 4.5. 

Payment of Tax 198.2 

T . . r..^ Article 5. 

Interest 198.2 

Article 6. 
Refunds 198.2 

Lien of Tax 198.2 

Inspection of Records 198.5 Article 6.5. 

City Financial Report 198.5 

Conflict of Interest Article 7. 

C«^^ '"'-^ Articles! 

Rules and Regulations 

Relating to Audit and Article 8 5 

Recordkeeping Procedures aid 

rt . • • ^ Article y. 

Pertaining to 

Legislative Chapter 3. 

Expenditures 199 Subchapter L 

Legislative Expenditures 199 

Unclaimed Property Law 199 

Subchapter L5. 
General 199 

Electronic Funds Transfer of 

Cash Unclaimed Property 201 

Charges Lawfully Withheld 202 

Subchapter 2. 
Reasonable Charges 202 

Interest or Dividends 202 Article 1 . 



Title Table of Contents 

Page 

Reporting and Delivering 
Property that Escheats 
Pursuant to Code of Civil 
Procedure Section 1516(b) 202.1 

Reasonable Cause 202.1 

Miscellaneous 202.1 

Rules and Regulations 

Relating to Trial Court 

Recordkeeping, 

Accounting and 

Reporting 202.2 

Definitions 202.2 

Accounting 202.2 

Chart of Accounts 202.2 

Maintenance of Effort 202.4 

Reporting 202.4 

Recordkeeping 202.5 

Commission on State Mandates 203 

General 203 

Commission Meetings 205 

Test Claims 206 

Mandates Recognized by the 
Legislature 212.2 

State Mandates Apportionment 
System 212.2(a) 

Incorrect Reduction Claims . . . 212.2(b) 

Review of Office of State 

Controller's Claiming 

Instructions 212.3 

Applications for a Finding 

of Significant Financial 

Distress 212.3 

Hearings and Decisions 212.7 

Rulemaking and Informational 
Hearings 2i2.ll 

Forms 212.12 

Conflict of Interest Code 212.12 

Department of General Services 213 

Department of General 

Services — Conflict of 

Interest Code 213 

Contract Protest 

Procedures; Protest 

Procedures for 

Consulting and Services 

Contracts 214.1 

California State Police 

Division 214.2 

General 214.2 



• 



• 



Article 7. 
Article 8. 
Article 9. 
Aiticle 10. 
Subchapter 4. 

Article 1. 
Subchapter 5. 



Subchapter 6. 

Article 1. 
Subchapter 6.5. 

Article 1. 

Article 2. 

Article 3. 

Article 3.5. 

Aiticle 4. 

Article 5. 

Article 5.5. 

Article 6. 

Article 7. 

Article 8. 
Subchapter 7. 
Subchapter 7.5. 

Subchapter 7.6. 



• 



Article 1. 


Subchapter 8. 


Article 1. 


Article 1.5 


Article 2. 


Article 3. 


Article 4. 



Page V 



(7-18-2008) 



Title Table of Contents BARCLAYS CALIFORNIA 

Page 

Subchapter 3. Fairs and Expositions 

Division 217 

Subchapter 4. Office of Public School 

Construction 217 

Group 1. State Allocation Board 217 

Subgroup 1. State Allocation Board — 

Conflict of Interest Code 2\l 

Subgroup 2. State Allocation Board 

Regulations 217 

Article 1. State Allocation Board 

Meetings 217 

Subgroup 3. Selection Process for Private 
Architectural, Engineering 
Land Surveying or 
Environmental Services Firms 218 

Article L General Provisions 218 

Article 2. Specific Provisions 218 

Subgroup 3.5. Regulations Relating to 

Surplus School Property; Use 

of Proceeds 218.1 

Subgroup 4. State School Building Aid 218.1 

Subgroup 5. Relating to the State School 

Building Law of 1952 218.1 

Article 1. Definitions 218.1 

Article 2. Application Procedure 218.1 

Article 3. Eligible Facilities 219 

Article 4. District Financial 

Requirements 226 

Article 5. Project Budget 227 

Article 6. Apportionments 228 

Article 7. Advance Purchase of Sites 

and Plans 231 

Article 8. Exceptional Pupils 232 

Article 8.5. Year Round School 232 

Article 9. Environmental Impact 

Requirements 233 

Article 10. General 233 

Subgroup 5.5. Regulations Relating to the 
Leroy F. Greene School 
Facilities Act of 1998: 
(School Facility Program) 234 

Article 1 . General Provisions and 

Definitions 234 

Article 2. Program Transition 234.6 

Article 3. SEP Application Procedure 234.8 

Article 4. Determining Existing School 

Building Capacity 234.9 



CODE OF REGULATIONS Title 2 

Page 

Article 5. Enrollment Projections 234.li 

Article 6. New Construction Eligibility 

Determination 234.13 

Article 7. Modernization Eligibility 

Determination 234.16 

Article 8. New Construction and 
Modernization Grant 
Determinations 234.16(a) 

Article 9. Hardship Assistance 234.32 

Article 10. Fund Release and Priority 

Points 234.36(h) 

Article 11. Miscellaneous School 
Facility Program 
Requirements 234.36(1) 

Article 12. Joint-Use Project Grant 

Determination 234.36(o) 

Article 13. Critically Overcrowded 

School Facilities 234.36(t) 

Article 14. Charter School Facilities 

Program 234.36(z) 

Article 15. Overcrowding Relief 

Grant 234.38(g) 

Article 16. Career Technical Education 

Facilities Program 234.38(i) 

Subgroup 5.6. Regulations Relating to the 
Federal School Renovation 
Program (Federal School 
Repair and Renovation 
Program) 234.38(1) 

Article 1 . General Provisions and 

Definitions 234.38(1) 

Article 2. FRP Application 

Procedure 234.38(n) 

Article 3. Permissible and 

Impermissible Uses of FRP 

Grants 234.38(n) 

Article 4. Funding Availability 234.39 

Article 5. Apportionment of Funds 234.40 

Article 6. Miscellaneous 234.40 

Subgroup 5.7. School Facilities Needs 

Assessment and Emergency 

Repair Program 234.42 

Article 1. General Provisions and 

Definitions 234.42 

Article 2. School Facilities Needs 

Assessment Grant Program — 234.43 

Article 3. Emergency Repair Program . . . 234.44 

Subgroup 6. School Housing Aid for 
Compensatory Education 
Purposes 234.48 



• 



• 



Page vi 



(7-18-2008) 



Title 2 



Administration 

Page 

School Housing Aid for Subgroup 11. 

Districts Impacted by 

Seasonal Agricultural 

Employment 234.48 

Definitions 234.48 Article 1 . 

Method of Availability of 

Portable Facilities 234.48 Article 4. 

Eligibility Requirements 235 

Fa'^ilit^e^ 235 Artic]e6. 

Applications 235 Article 7. 

Financial Requirements 235 Article 8. 

Acceptance of Aid 235 

Article 9. 
Moving, Storage, 

Maintenance 235 ^ , , ^ 

Subgroup 12. 

Miscellaneous Provisions 236 

Children's Center Construction Article 1. 

Aid 236 Article 2. 

Emergency School Classroom Law 

of 1979 236 Articles. 

T^ ,.. . . Article 4. 

Detinitions 236 

Acquisition of Portable Article 5 

Classrooms 237 

237 

Apphcations for Lease 237 Article 6. 

Article 7. 

Lease Agreements 237 

Article 8. 

Priorities 237 c u u . c 

Subchapter 6. 

Miscellaneous Provisions 238 

School Housing Aid for 

Rehabilitation and Article 1. 

Replacement of Structurally Article 2. 

Inadequate School Facilities 238 Subchapter 7. 

Definitions 238 Article 1 . 

Application Procedure 238.1 

Article 2. 
Eligible Facilities 239 

District Financial Subchapter 8. 

Requirements 242 

Project Budget 242 

Article I. 

Apportionments 243 

Article 2. 

General 243 Article 3. 

Environmental Impact Article 4. 

Requirements 244 Subchapter 9. 

School Sites: Nonuse Payments 245 

Definitions 245 

Procedures 246 



Title Table of Contents 

Page 

Regulations Relating to the 
Leroy F. Greene State School 
Building Lease-Purchase Law 

of 1976 247 

Definitions 247 

General Provisions 247 

Eligible Facilities 248.1 

Project Approvals and Lease- 
Purchase Agreements 253 

Project Budget 253 

Disposition of Property 254 

Lease-Purchase of Sites and 

Plans 254 

Environmental Impact 

Requirements 254 

State School Deferred 

Maintenance 255 

Definitions 255 

Ehgibility to Receive DMP 

Grants 256 

DMP Application Procedure 256 

Basic Grant Request and 
Apportionment 257 

Extreme Hardship Grant 

Application and 

Apportionment 258 

Miscellaneous 258.2 

Asbestos Abatement 258.3 

Child Care and Development . . . 258.4 

Real Estate Division — 

Relocation Assistance 

Program 259 

General 259 

Relocation Payments 262 

Office of Procurement 270 

Rules for Prequalification 

of Vendors 270 

Purchases on Behalf of Local 
Agencies 271 

Office of Small Business 

Procurement and 

Contracts 273 

General Provisions 273 

Small Business Preference 274 

Certification 276 

Appeals 278 

Small and Minority 

Business Procurement 

and Assistance Division — 

Target Area Contract 

Preference Act 279 



Subgroup 7. 



Article 1. 


Article 2. 


Article 3. 


Article 4. 


Article 5. 


Article 6. 


Article 7. 


Article 8. 


Article 9. 


Subgroup 8. 


Subgroup 8.5 


Article 1. 


Article 2. 


Article 2.5. 


Article 3. 


Article 4. 


Article 5. 


Article 6. 


Subgroup 9. 



Article 1. 


Article 2. 


Article 3. 


Article 4. 


Article 5. 


Article 6. 


Article 7. 


Article 8. 


Subgroup 10 


Article 1. 


Article 2. 



Page vii 



(7-18-2008) 



Title Table of Contents BARCLAYS CALIFORNIA CODE 

Page 

Article 1. General Provisions 279 

Subchapter 10. Small Business Office — 
Late Payments on State 
Contracts with Small 
Businesses 280 

Subchapter 10.5. Disabled Veteran Business 
Enteiprise Participation 
Goal Program for State 
Contracts 280.1 

Subchapter 10.6. DVBE Incentive Program 280.8 

Subchapter 11. Employment and Economic 
Incentive Act Contract 
Preferences 280.8 

Article 1. 280.8 

Subchapter 11.5. Contracts Awarded Without 

Competition 280.10 

Subchapter 12. Personal Services 

Contracts 280.10 

Chapter 4. Office of the State Treasurer 281 

Subchapter 1 . Conflict of Interest 

Code 281 

Subchapter 2. Security for State 

Deposits 282 

Article 1. General 282 

Article 2. Eligibility and Custody of 

Notes 282 

Subchapter 3. Value of Promissory Notes 
Pledged to Secure Local 
Agency Deposits 283 

Article 1 . General 283 

Article 2. Procedures for Determining 

Value 283 

Subchapter 4. Target Business 

Enterprise Participation 

Goals for Professional 

Bond Services 283 

Article 1. General 283 

Article 2. Certification 284 

Article 3. Competitive Sales 286 

Article 4. Negotiated Sales 286 

Article 5. Reports 288.13 

Division 3. State Property Operations 289 

Chapter 1 . State Lands Commission 289 

Article 1. General Provisions 289 

Article 1.5. Meeting Notice and Agenda 

Requirements 290 



OF REGULATIONS Title 2 

Page 

Article 2. Leasing or Other Use of 

Public Lands 290 

Article 2. 1 . Sale of Public Lands and 

Timber 292 

Article 2.5. Salvage Permits for 

Abandoned Property 292 

Article 2.9. Exploration Permits 292 

Article 3. Oil and Gas Leases, 

Exploration Permits, and 

Operating Requirements 292 

Article 3.2. Oil and Gas Drilling 

Regulations 296 

Article 3.3. Oil and Gas Production 

Regulations 302 

Article 3.4. Oil and Gas Drilling and 
Production Operations: 
Pollution Control 308 

Article 3.5. Disposal of Royalty Oil, Gas 

or Other Hydrocarbons 310 

Article 3.6. Operation Manual & Emergency 

Planning 312 

Article 4. Leases and Prospecting 

Permits for Minerals Other 

Than Oil and Gas 312.2 

Article 4. 1 . Leases for Exploration and 
Development of Geothermal 
Resources 313 

Article 4.5. Marine Invasive Species 

Control Fund Fee 313 

Article 4.6. Ballast Water Regulations 
for Vessels Arriving at 
California Ports or Places 
After Departing from Ports 
or Places Within the 
Pacific Coast Region 314 

Article 4.7. Performance Standards for 
the Discharge of Ballast 
Water for Vessels Operating 
in California Waters 314.1 

Article 5. Marine Terminals Inspection 

and Monitoring 314.2 

Article 5.1. Marine Terminal Physical 

Security 314.14 

Article 5.3. Marine Terminal Personnel 

Training and Certification . . . 314.14(d) 

Article 5.4. Structural Requirements for 
Vapor Control Systems at 
Marine Terminals 314.17 

Article 5.5. Marine Terminal Oil 

Pipelines 314.17 

Article 6. Sale of Vacant United States 

Lands 314.22 



• 



Page viii 



(7-18-2008) 



Title 2 



Administration 



Title Table of Contents 



• 



Page 

Article 6.5. Protection of the Lands and 
Resources Under the 
Jurisdiction of the State 
Lands Commission Within the 
Coastal Zone 3J4.22 

Article 7. Procedures Under Section 

126, Government Code 315 

Article 8. Procedures Under Government 

Code Section 113 315 

Article 9. Lease Involving Granted Tide 

and Submerged Lands 316 

Article 10. Regulations for the 

Implementation of the 

California Environmental 

Quality Act 316 

Article 1 1 . Regulations Protecting 

Environmentally Significant 

Lands 316.1 

Article 12. Conflict of Interest Code 316.2 

Article 13. Contracts Securing 

Architectural, Landscape 

Architecture, Engineering, 

Environmental, Land 

Surveying, and Construction 

Project Management 

Services 316.2 

Chapter 2. California Arts Council 317 

Subchapter 1 . The Conflict of Interest 
Code of the California 
Arts Council 317 

Subchapter 2. Grant Application 

Criteria and Procedure 

of the California Arts 

Council 317 

Article 1. Statement of Purpose 317 

Article 2. Eligibility 317 

Article 3. Grants 317 

Article 4. Grant Categories 317 

Article 5. Funding Criteria 317 

Article 6. Matching Grants, or 

Contracts 317 

Article 7. Program Development 

Procedures 318 

Article 8. Application Review and 

Awards Process 318 

Article 9. Funding Amounts 318.3 

Article 10. California Arts Council 

Goals 318.3 

Article 11. 



Page 

Chapter 3. California Museum of Science and 

Industry 319 

Article 1. General 319 

Article 2. Traffic 319 

Article 3. Admission Ticket Selling 323 



General State Requirements 



Division 4. 

Chapter 1 . 
Subchapter 1. 
Subchapter 2. 

Chapter 2. 
Subchapter 1. 
Subchapter 2. 

Subchapter 3. 

Subchapter 4. 
Subchapter 5. 



Subchapter 6. 
Subchapter 6A. 



Subchapter 7. 

Subchapter 8. 

Subchapter 9. 

Subchapter 11. 
Subchapter 12. 

Chapter 3. 

Chapter 4. 
Subchapter 1. 
Article 6. 
Subchapter 3. 

Subchapter 4. 
Chapter 5. 



Fair Employment and Housing 
Commission 329 

Administration 329 

Administration 329 

Powers and Duties of the 

Commission 329 



318.3 



Discrimination in Employment 330 

General Matters 330 

Particular Employment 

Practices 334 

Race and Color 
Discrimination 

(Reserved) 338. l 

National Origin and 

Ancestry Discrimination 338.1 

Ancestry Discrimination 

(Reserved) 338.1 

Sex Discrimination 338.1 

Sex Discrimination: 

Pregnancy, Childbirth or 

Related Medical 

Conditions 339 

Marital Status 

Discrimination 345 

Religious Creed 

Discrimination 346 

Disability 

Discrimination 347 

Age Discrimination 348.2 

Family Care and Medical 

Leave 348.4 

Discrimination In Housing 

(Reserved) 348.13 

Procedures of the Commission 348.13 

General Matters 348.13 

Post-Hearing Matters 356.6 

Investigative Hearing 

(Reserved) 356.7 

Advisory Agencies and 

Councils (Reserved) 356.7 

Contractor Nondiscrimination and 
Compliance 356.7 



Page ix 



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Title Table of Contents BARCLAYS CALIFORNIA 

Page 

Subchapter 1. General Matters 356.7 

Subchapter 2. Regufations Applicable to 

Construction Contracts 359 

Subchapter 3. Regulations Applicable to 
Service and Supply 
Contracts 361 

Article 1. Small Contracts 361 

Article 2. Regulated Contracts 362 

Subchapter 4. OCP Review Procedures 362 

Subchapter 5. OCP Enforcement 

Proceedings 362 

Division 4.5. Local Agency Deposit Security 365 

Chapter 2. Administrator of Local Agency 

Security 365 

Subchapter 1. General Provisions 365 

Article L Citation, Numbering, 

Construction, Severabihty 365 

Article 2. Definitions 365 

Article 3. Administration 366 

Article 4. Hearings 366 

Article 5. Miscellaneous 367 

Subchapter 2. Agent of Depository 368 

Article L Eligibility to Act As Agent 

of Depository 368 

Article 2. Agreement of Agent of 

Depository 368 

Article 3. Declaration of Inehgibility 

and Transfer Order 369 

Article 4. Hearings 369 

Subchapter 3. Addition, Withdrawal and 
Substitution of 
Securities 369 

Article L Addition of a Security 369 

Article 2. Plus Substitution of 

Securities 369 

Article 3. Withdrawal of a Security 369 

Article 4. Minus Substitution of 

Securities 370 

Subchapter 4. Reports by Treasurer to 

Administrator 371 

Article I. General Provisions 371 

Ajticle 2. Registration Report 371 

Article 3. Supplemental Registration 

Report 371 

Article 4. Termination Report 371 

Article 5. Report of Deposits 371 



CODE OF REGULATIONS Title 2 

Page 

Subchapter 5. Reports by Depository and 
Agent of Depository to 
Administrator 371 

Article 1. General Provisions 371 

Article 2. Report of Addition, 

Withdrawal, or Substitution 

of Securities 371 

Article 3. Weekly Report of Local 

Agency Deposits 372 

Article 4. Called Report of Local 
Agency Deposits and 
Securities 372 

Subchapter 6. Report by Agent of 

Depository to Treasurer 373 

Article I. General Provisions 373 

Article 2. Report by Agent of 

Depository to Treasurer 373 

Subchapter 7. Security Pools (REN) 374 

Article 1 . General Provisions 374 

Subchapter 8. Nonqualification of 

Security 375 

Article 1. Order to Substitute for 

Nonqualified Security 375 

Subchapter 9. Default of Depository 376 

Article L General Provisions 376 

Article 2. Demand for Payment 376 

Article 3. Notice of Default of 

Depository 377 

Article 4. Conversion and Payment 

Instruction 377 

Article 5. Order Not to Release 

Security 377 

Subchapter 10. Forms 378 

Article 1 . Forms 378 

Division 5. Local Agency Personnel 

Standards 381 

Chapter 1 . Approved Local Merit System 

Standards 381 

Article 1 . Purposes 381 

Article 2. Definitions 381 

Article 3. Merit Principles 382 

Subarticle 1. Merit Principle 1 382 

Subarticle 2. Merit Principle 2 382 

Subarticle 3. Merit Principle 3 382 

Subarticle 4. Merit Principle 4 382 

Subarticle 5. Merit Principle 5 383 

Subarticle 6. Merit Principle 6 383 



• 



Page X 



(7-18-2008) 



Title 2 Administration 

Page 

Article 4. Administration 383 Article 3. 

Article 5. Assuring Compliance 384 Chapter 9 

Chapter 2. Merit System Regulations 384 Chapter 9.5. 

Article 1 . Administration 384 „, , „ 

Chapter 10. 

Article 2. Classification 385 

Article 3. Compensation 385 Division 7. 

Article 4. Examining 386 Chapter 1 . 

Article 5. Certification 387 Article 1 . 

Article 6. Appointments, Transfers and 

Nonpunitive Separations and Article 2. 

Demotions 388 

Subarticle 1. Appointments 388 Article 3. 

Subarticle 2. Performance Appraisal 389 

Subarticle 3. Transfer 389 a .• i a 

Article 4. 

Subarticle 4. Reduction in Force 390 

Subarticle 5. Demotion, Reinstatement Article 5. 

and Leaves 392 

Article 7. Disciplinary Action 393 Article 6. 

Article 8. Appeals, Grievances and 

Complaints 393 

/Vrticlp V 
Subarticle 1. Processing Employment 

Rights Appeals 393 Chapter 2. 

Subarticle 2. Grievance Procedures 395 

Subarticle 3. Examination Appeals 396 Chapter 3. 

Article 9. Cooperation with Other Merit Chanter 4 

System Agencies 396 

Article 1. 

Division 6. Fair Political Practices Article 2. 

Commission 397 Article 3. 

Chapter 1 . General 397 

Chapter 2. Definitions 399 Article 4. 

Chapter 3. Fair Political Practices Article 5. 

Commission 406 

Chapter 4. Campaign Disclosure 419 Article 6 

Chapter 4.6. Online Disclosure 435 

Chapter 5. Campaign Finance Reform 436 Article 7 

Article 1 . Statewide Measures 450.2 

Chapter 6. Lobbyists 450.2(a) . . , „ 

Article 8. 

Chapter 7. Conflicts of Interest 450.2(i) ^, _ 

Article 1 . Conflicts of Interest; 

General Prohibition 450.2(i) 

Article 2. Disclosure 450.2(z)(i) Article 1. 

Article 2.5. Post-Employment Laws 450.10 Article 2. 



Title Table of Contents 
Page 

Conllict of Interest Codes 450.J2 

Incumbency 452.5 

Ethics 452.7 

Auditing 452.18 

Secretary of State 453 

Voter Registration 453 

Access to Voter Registration 
Information 453 

Postal Registration of 

Voters 454 

County Programs to Identify 

and Register Qualified 

Electors 459 

Overseas Citizens 

Registration and Voting 460 

Cancellation of Voter 

Registration 462 

Independent Nomination 

Petition Signature 

Verification 463 

Voting 464 

Statewide Voter Registration 

Database 466 

Miscellaneous 466.8 

Punch Cards and Ballot Paper 466.8 

General 466.8 

Definitions 466.8 

Certification of 

Manufacturers and 

Finishers 466.9 

Inspection of Facilities 466.9 

Request for and Release of 

Ballot Cards, Sheets, and 

Unfinished Ballot Cards 466.9 

Manufacture of Ballot Cards, 

Sheets, and Unfinished 

Ballot Cards 467 

Distribution of Ballot 

Cards, Sheets, and 

Unfinished Ballot Cards 468 

Warehouse Access Control 468 

Election Petition Signature 
Verification Random Sampling 
Verification Methodology 469 

General Provisions 469 

Definitions 469 



Page xi 



(7-18-2008) 



Title Table of Contents BARCLAYS CALIFORNIA 

Page 

Article 3. Random Sampling Formula for 
Verification of Elections 
Petitions 469 

Article 4. Miscellaneous 470 

Chapter 6. Escrow of Ballot Tally Software 

Program Source Codes 470 

Article 1. General Purpose and 

Effective Date 470 

Article 2. Definitions 470.1 

Article 3. The Secretary of State 470.1 

Article 4. The Vendor 470.2 

Article 5. The Escrow Company 470.3 

Article 6. The Escrow Facility 470.3 

Article 7. Access to and Review of 

Materials in Escrow 470.4 

Article 8. The Escrow Agreement 470.4 

Chapter 7. Ballot Designations 470.9 

Chapter 8. Notary Public 471 

Chapter 9. Business Programs 472.2 

Chapter 10. Digital Signatures 473 

Chapter 11. Safe at Home Confidential 

Address Program 474.1 

Chapter 12. Victims of Corporate Fraud 

Compensation Fund 474.4 

Chapter 13. Uniform Commercial Code 474.9 

Article 1. General Provisions 474.9 

Article 2. Acceptance and Refusal of 

Records 474.10 

Article 3. Business Programs Automation 
On-Line System and 
Electronic Records 474.10 

Article 4. Filing and Data Entry 

Procedures 474.10 

Article 5. Information Request and 

Search Response 474.li 

Article 6. Other Notices of Liens 474.12 

Chapter 14. Advance Health Care Directive 

Registry 474.12 

Article 1. Advance Health Care 

Directive Registry 474.12 

Division 8. Miscellaneous Conflict of 

Interest Codes 475 

Chapter 1. Office of the Lieutenant 

Governor — Conflict of Interest 

Code 475 



CODE OF REGULATIONS Title 2 

Page 

Chapter 2. Legislative Counsel Bureau — 

Conflict of Interest Code 473 

Chapter 3. Traffic Adjudication Board — 

Conflict of Interest Code 475 

Chapter 4. State and Consumer Services 
Agency — Conflict of Interest 
Code 475 

Chapter 5. California State Council on 

Vocational Education — Conflict 

of Interest Code 476 

Chapter 5.1. Cahfornia Postsecondary 

Education Commission — Conflict 

of Interest Code 476 

Chapter 6. California Arts Council — Conflict 

of Interest Code 476 

Chapter 7. Department of Technology 

Services — Conflict of Interest 

Code 477 

Chapter 8. State Board of Food and 
Agriculture — Conflict of 
Interest Code 477 

Chapter 9. California Council on Criminal 
Justice and the Office of 
Criminal Justice Planning — 
Conflict of Interest Code 477 

Chapter 10. Cahfornia Public Broadcasting 

Commission — Conflict of Interest 

Code 478 

Chapter 1 1 . Milton Marks Commission on 
California State Government 
Organization and Economy — 
Conflict of Interest Code 478 

Chapter 12. Department of Economic and 

Business Development — Conflict 

of Interest Code 478 

Chapter 13. Cahfornia Library Services 
Board — Conflict of Interest 
Code 479 

Chapter 14. Office of Statewide Health 
Planning and Development 
Administration — Conflict of 
Interest Code 479 

Chapter 15. Health and Welfare Agency Data 
Center — Conflict of Interest 
Code 479 

Chapter 16. Department of Finance — Conflict 

of Interest Code 479 

Chapter 17. State Public Defender — Conflict 

of Interest Code 480 



Page xii 



(7-18-2008) 



Title 2 



Administration 

Page 

California Transportation Chapter 37. 

Commission 480 

Seismic Safety Commission — 

Conflict of Interest Code 480 Chapter 38. 

State Council on Developmental 

Disabilities — Conflict of 

Interest Code 481 Chapter 39. 

Commission on State Finance — 

Conflict of Interest Code 48 1 Chapter 40. 

California Conservation Corps — 

Conflict of Interest Code 48 1 Chapter 4 1 . 

Voting Modernization Board — 

Conflict of Interest Code '. . 482 ^, 

Chapter 42. 

Secretary of State — Conflict of 

Interest Code 482 

California Science Center — 

Conflict of Interest Code 482 Chapter 43. 

California Law Revision 

Commission — Conflict of Interest 

Code 482.1 

Native American Heritage Chapter 45. 

Commission — Conflict of Interest 

Code 483 

California Table Grape Chapter 46. 

Commission — Conflict of Interest 

Code 483 

California Exposition and State Chapter 47. 

Fair — Conflict of Interest Code 483 

Office of Administrative Law — 

Conflict of Interest Code 484 Chapter 48. 

California Pistachio Commission — 

Conflict of Interest Code 484 Chapter 49. 

California Kiwi Fruit „, 

„ . . Chapter 50. 

Commission 484 

California Avocado Commission — 

Conflict of Interest Code 485 Chanter 51 

California Iceberg Lettuce 

Commission — Conflict of Interest 

Code 485 Chapter52. 

State Compensation Insurance 

Fund — Conflict of Interest Code 485 

State Assistance Fund for ^ 

Enterprise Business and 

Industrial Developmental 

Corporation — Conflict of Chapter 54. 

Interest Code 485 



Title Table of Contents 

Page 

Department of Personnel 

Administration — Conflict of 

Interest Code 486 

State Job Training Coordinating 

Council-Conflict of Interest 

Code 487 

California Wheat Commission — 

Conflict of Interest Code 487 

Employment Training Panel- 
Conflict of Interest Code 487 

California State Lottery 

Commission — Conflict of Interest 

Code 487 

Robert Presley Institute for 

Corrections Research and 

Training — Conflict of Interest 

Code 488 

EIR Certification Panel for the 

Proposed Department of 

Corrections Reception Center in 

Los Angeles County — Conflict of 

Interest Code 488 

California State World Trade 

Commission — Conflict of Interest 

Code 488 

California Uniform Construcfion 
Cost Accounting Commission — 
Conflict of Interest Code 488.1 

California State Summer School 

for the Arts — Conflict of 

Interest Code 488.1 

California Walnut Commission — 
Conflict of Interest Code 488.1 

California Asparagus Commission — 
Conflict of Interest Code 488.1 

California Citizens Compensation 
Commission — Conflict of Interest 
Code 488.2 

Lodi-Woodbridge Winegrape 

Commission — Conflict of Interest 

Code 488.2 

University of Cahfornia 

Hastings College of the Law — 

Conflict of Interest Code 488.2 

State Race Track Leasing 

Commission — Conflict of Interest 

Code 488.3 

Bureau of State Audits — Conflict 

of Interest Code 488.3 



Chapter 1 8. 
Chapter 19. 
Chapter 20. 

Chapter 21. 
Chapter 22. 
Chapter 23. 
Chapter 24. 
Chapter 25. 
Chapter 26. 

Chapter 27. 

Chapter 28. 

Chapter 29. 
Chapter 30. 
Chapter 31. 
Chapter 32. 
Chapter 33. 
Chapter 34. 

Chapter 35. 
Chapter 36. 



Page xiii 



(7-18-2008) 



Title Table of Contents BARCLAYS CALIFORNIA 

Page 

Chapter 55. California Managed RiskMedical 
Insurance Board — Conflict of 
Interest Code 488.3 

Chapter 56. CaUfornia Council for Private 
Postsecondary and Vocational 
Education — Conflict of Interest 
Code 488.4 

Chapter 57. Del Mar Race Track Authority — 

Conflict of Interest Code 488.4 

Chapter 58. Office of Environmental Health 
Hazard Assessment — Conflict of 
Interest Code 488.4 

Chapter 59. Department of Toxic Substances 
Control — Conflict of Interest 
Code 488.4 

Chapter 60. Lake County District Two — Local 
Winegrape Commission — Conflict 
of Interest Code 488.5 

Chapter 61. California Pepper Commission — 

Conflict of Interest Code 488.5 

Chapter 62. California Mental Health 

Planning Council — Conflict of 

Interest Code 488.5 

Chapter 63. Delta Protection Commission — 

Conflict of Interest Code 488.5 

Chapter 64. California State Library — 

Conflict of Interest Code 488.6 

Chapter 65. San Joaquin River Conservancy — 

Conflict of Interest Code 488.6 

Chapter 66. Intercity High Speed Rail 

Commission — Conflict of Interest 

Code 488.6 

Chapter 67. California Housing Partnership 
Corporation — Conflict of 
Interest Code 488.7 

Chapter 68. Southwestern Low-Level 

Radioactive Waste Commission — 
Conflict of Interest Code 488.7 

Chapter 69. California Constitution Revision 
Commission — Conflict of Interest 
Code 488.7 

Chapter 70. County Medical Services Program — 

Conflict of Interest Code 488.7 

Chapter 7 1 . California Service Corps — 

Conflict of Interest Code 488.8 



CODE OF REGULATIONS Title 2 

Page 

Chapter 72. California Strawberry Commission — 

Conflict of Interest Code 488.8 

Chapter 73. State Allocation Board — Conflict 

of Interest Code 488.8 

Chapter 74. Department of Information 

Technology — Conflict of Interest 

Code 488.9 

Chapter 75. Child Development Advisory 

Programs Committee — Conflict of 
Interest Code 488.9 

Chapter 76. Commission for the Establishment 
of Academic Content and 
Performance Standards — Conflict 
of Interest Code 488.9 

Chapter 77. California Tomato Commission — 

Conflict of Interest Code 488.9 

Chapter 78. California Cut Flower Commission — 

Conflict of Interest Code 488.10 

Chapter 79. California Earthquake Authority — 

Conflict of Interest Code 488.10 

Chapter 80. California Grape Rootstock 

Improvement Commission — Conflict 

of Interest Code 488.10 

Chapter 8 1 . California Apple Commission — 

Conflict of Interest Code 488.10 

Chapter 82. California Forest Products 

Commission — Conflict of Interest 

Code 488.11 

Chapter 83. California State University Risk 
Management Authority — Conflict 
of Interest Code 488. ii 

Chapter 84. California Gold Discovery to 

Sesquicentennial Commission — 

Conflict of Interest Code 488. li 

Chapter 85. California High Speed Rail 

Authority — Conflict of Interest 

Code 488.11 

Chapter 86. State Independent Living Council — 

Conflict of Interest Code 488.12 

Chapter 88. California State University, 

Channel Islands Site Authority — 

Conflict of Interest Code 488.12 

Chapter 89. California Date Commission — 

Conflict of Interest Code 488.12 

Chapter 90. California Rice Commission — 

Conflict of Interest Code 488.13 



Page xiv 



(7-18-2008) 



Title 2 



Administration 

Page 

California Children and Families Chapter 108. 

Commission — Conflict of Interest 

Code 488.13 

California Travel and Tourism Chapter 111. 

Commission — Conflict of 

Interest Code 488.1 3 

Office of Traffic Safety— Chapter 112. 

Conflict of Interest Code 488.1 3 

Office of the State Governor — 

Conflict of Interest Code 488.14 ^^ ^^ 

California Gambling Control 

Commission — Conflict of Chanter 1 1 4 

Interest Code 488.14 

California Sheep Commission — Chapter 117. 

Conflict of Interest Code 488.14 

California Workforce Investment 

Board — Conflict of Interest Chapter 118. 

Code 488.14 

California Electricity Oversight 

Board — Conflict of Interest 

Code 488 15 Division 9. 

California Labor and Workforce 

Development Agency — Conflict Chapter 1. 

of Interest Code 488.15 

Baldwin Hills Conservancy — a ' i i 

Conflict of Interest Code 488.15 

Article 2. 

Office of the Inspector General — 

Conflict of Interest Code 488.15 Article 3 

California Climate Action Article 4. 

Registry — Conflict of Interest 

Code 488.16 

California Bay Delta Authority — Article 5 

Conflict of Interest Code 488.16 

California Consumer Power and Article 6. 

Conservation Financing Article 7. 

Authority — Conflict of 
Interest Code 488.16 

California Commission for Article 5. 

Economic Development — Conflict Article 9. 

of Interest Code 488.16 



Title Table of Contents 

Page 

Santa Monica Bay Restoration 

Commission — Conflict of 

Interest Code 488.17 

California Cultural and 

Historical Endowment — Conflict 

of Interest Code 488.17 

Sonoma County Winegrape 
Commission — Conflict of 
Interest Code 488.17 

Mendocino Winegrape and Wine 

Commission — Conflict of 

Interest Code 488.18 

Ocean Protection Council — 

Conflict of Interest Code 488.18 

California African American 

Museum — Conflict of Interest 

Code 488.18 

Citizens Financial " 

Accountability Oversight 

Committee — Conflict of 

Interest Code 488.18 

Joint Regulations for Pupils 

with Disabilities 489 

Interagency Responsibilities for 

Providing Services to Pupils 

with Disabilities 489 

General Provisions 489 

Mental Health Related 

Services 492 

Residential Placement 495 

Financial Provision for 

Mental Health Services, 

Special Education and 

Residential Placement 497 

Occupational Therapy and 

Physical Therapy 497 

Home Health Aide 501 

Exchange of Information 

Between Education and 

Social Services 501 

Procedural Safeguards 502 

Interagency Dispute 

Resolution 503 



• 



Chapter 91. 
Chapter 92. 

Chapter 93. 
Chapter 94. 
Chapter 95. 

Chapter 96. 
Chapter 97. 

Chapter 98. 

Chapter 99. 

Chapter 101. 
Chapter 102. 
Chapter 103. 

Chapter 105. 
Chapter 106. 

Chapter 107. 



Page XV 



(7-18-2008) 



.A. 



Barclays Official 

California 

Code of 
Regulations 



Title 2. Administration 

Division 1. Administrative Personnel 
^1^ Chapter 1. State Personnel Board 



Vol.2 



XHOIVISOIM 

* 

WEST 



Barclays Official California Code of Regulations 

425 Market Street • Fourth Floor • San Francisco, CA 94105 
800-888-3600 



Title 2 



State Personnel Board 



Table of Contents 



Chapter 1. State Personnel Board 



Table of Contents 



Page 



Page 



Subchapter 1. 


General Civil Service 




Regulations 


Article 1. 


Definitions 


§1. 


Definitions. 


§2. 


Act. 


§3. 


Agency. 


§ 3.5. 


Appointing Power. 


§4. 


Board. 


§5. 


Employee. 


§6. 


Executive Officer. 


§6.1. 


Use of Month or Calendar Month. 


§6.2. 


Qualifying Monthly Pay Period. 


§6.3. 


Qualifying Monthly Pay Period for 




Hourly and Daily Rate Employees. 


§6.4. 


Break in Service. 


§7. 


Regulations. 


§8. 


Good Faith Appointment 




Requirements and Sanctions for 




Violation. 


§9. 


Compensation. 


§10. 


Disability. 


Article 2. 


General Provisions 


§21. 


Citation of Regulations. 


§22. 


Effect of Headings. 


§23. 


Continuing Provisions. 


§24. 


Reports. 


Article 3. 


Administration 


§31. 


Regular Meetings. 


§32. 


Special Meetings. 


§33. 


Emergency Meetings. 


§34. 


Calendar. 


§ 34.5. 


Notice of Regular Meeting Agenda. 


§35. 


Continuances of Items Under 




Submission. 


§ 35.5. 


Reconsideration and Action. 


§36. 


Roster. 


§37. 


Delegation Authority of the Board 




and Executive Officer. 


Article 3.5. 


Selection Standards 


§50. 


Merit Selection Manual. 


Article 4. 


Hearings and Appeals 


§51. 


Scope of Article. 


§51.1. 


Definitions. 


§51.2. 


Requirements for Filing Appeals 




with the Board. 


§51.3. 


Assignment of Appeal to 




Appropriate Review Process. 


§51.4. 


Hearings are Public. 


§51.5. 


Right to Representation. 


§51.6. 


When Decisions Become Final. 


§51.7. 


Petitioning for Rehearing. 


§51.9. 


Request to File Charges Against 



§52. 



§52.1. 
§ 52.2. 



State Employees. 
Appeals Assigned to the 
Administrative Law Judge 
Evidentiary/Investigatory Hearing 
Processes. 

Exclusion of Witnesses. 
Dismissal of Appeals Not Brought 
to Hearing. 



§52.3. 

§ 52.4. 
§ 52.5. 
§ 52.6. 

§53. 

§53.1. 
§ 53.2. 

§54. 
§ 54.2. 

§ 55. 
§56. 

§56.1. 



§ 56.2. 

§ 56.3. 
§ 56.4. 

§ 56.5. 
§ 56.6. 

§ 56.7. 
§ 56.8. 



§57.1. 



§ 57.2. 



§57.3. 
§ 57.4. 

§60. 
§60.1. 
§ 60.2. 
§ 60.3. 
§ 60.4. 
§ 60.5. 
§ 60.6. 

§ 60.7. 
§ 60.8. 
§ 60.9. 
§60.10. 

§61. 

§62. 
§63. 
§64. 
§65. 
§66. 

§67. 
§68. 



Right to Respond to Proposed 
Action. 

Expedited Hearings. 
Appeal Continuances. 
Investigatory Hearing Process for 
Lesser Adverse Actions. 
Appeals Assigned to General Merit 
System Appeals Process. 
Merit Issue Complaints. 
Reasonable Accommodation 
Appeals. 

Discrimination Complaint Process. 
Discrimination Complaint Standiirds 
for Appointing Powers. 
Hearing Officer. 
Whistleblower Retaliation 
Complaint Process. 
Requirements for Filing 
Whistleblower Retaliation 
Complaint with the State Personnel 
Board. 

Acceptance of Whistleblower 
Complaint. 

Cases Referred to Investigation. 
Cases Referred to Informal Hearing 
Before an ALJ. 

Findings of the Executive Officer. 
Disciplinary Action for Proven 
Retaliatory Acts. 

Consolidation with Other Hearings. 
Evidentiary Hearing Procedures and 
Representation by the Executive 
Officer. 

Discovery in Evidentiary Hearings 
Before the Board or a Board 
Administrative Law Judge. 
Request for Discovery; Statements; 
Writings; Investigative Reports; 
Witness List. 

Petition to Compel Discovery. 
Petition to Quash or for Protective 
Order. 

Definition and Purpose. 
Exclusivity. 
Scope. 

Referral of Proceedings. 
Date, Time and Place of Mediation. 
Attendance at Mediation. 
Standards of Conduct for Neutral 
Mediators. 
Agreements. 

Termination of Mediation. 
Confidentiality of Communications. 
Alternate Resolution of the 
Complaint/Appeal. 
Right to Respond to Charges Prior 
to Punitive Action. 
Request to File Charges. 
Appeal. 
Time of Filing. 
Answer. 

Dismissal of Appeals Not Brought 
to Hearing. 

Reference to Hearing Officer. 
Hearing and Decision. 



Page i 



(7-18-2008) 



Table of Contents 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 





Page 




§69. 


Rehearing. 


§200. 


§70. 


Decision Becomes Final When. 




§73. 


PubHc Hearing; Counsel. 


§201. 


§74. 


Exclusion of Witnesses. 


§202. 


Article 5. 


Compensation 8.6 


§203. 


§90. 


Attendance Records. 


§203.1. 
§ 203.2. 


Article 6. 


Overtime 8.6 


§ 203.3. 
§ 203.4. 


§ no. 


Definitions. 






§ 203.5. 


Article 7. 


Employment Lists 8.6 




§ 151. 


Eligibihty After Appointment. 


§ 203.6. 


§151.3. 


Restoration of Name for 
Limited-Term Certification. 


§ 203.7. 


§ 151.5. 


Limited Term Eligible Lists. 




§152. 


Preferred Limited Term List. 


§ 205. 


§ 153. 


Inactive Status. 


§206. 


§ 154. 


Transfer of Promotional List 


§207. 




Eligibility. 


§208. 


Article 8. 


Examinations 8.7 


§ 209. 
§210. 


§171. 


Announcement. 


§211. 


§ 171.1. 


Amount of Time Required to Meet 
Minimum Qualifications. 


§211.1. 


§172. 


General Qualifications. 




§172.1. 


Waiver of Additional Special 
Personal Characteristics. 


§212. 


§ 172.2. 


Citizenship. 




§ 172.3. 


Medical Examinations During 
Employment. 


§213. 


§ 172.4. 


Definition of Psychological 
Screening. 


§213.1. 


§ 172.5. 


Definition of Qualified 
Professional. 


§213.2. 


§ 172.6. 


Responsibility for Psychological 
Screening. 


§213.3. 


§ 172.7. 


Standards and Procedures for 
Psychological Screening. 


§213.4. 


§ 172.8. 


Psychological Screening Withhold 


§213.5. 




from Certification. 


§213.6. 


§ 172.9. 


Appeal of Psychological Screening 
Withhold. 




§ 172.10. 


Retention of Psychological 
Screening Records. 


§ 215.00. 


§ 172.11. 


Retention of Psychological 
Screening Testing Materials. 


§216. 


§173. 


Fee. 




§ 174. 


Applications. 


§216.1. 


§ 174.6. 


Compilation of Ethnic, Sex and 
Disability Information. 




§ 174.7. 


Use of Ethnic, Sex and Disability 
Information. 


§216.2. 


§ 174.8. 


Confidentiality of Ethnic, Sex and 
Disability Information. 




§175. 


Authorization to Take Examination. 


Article 9. 


§ 176. 


Questions Approved and Sealed. 


§231. 


§177. 


Explanations. 


§232. 


§178. 


Prohibited Acts. 


§233. 


§179. 


Identity Concealed. 


§234. 


§180. 


Prohibited Marks. 




§185. 


Rating of Written Examinations. 


§235. 


§186. 


Inspection of Examination Papers. 




§187. 


Time for Inspection. 


§ 235.2. 


§188. 


Who May Inspect. 


§236. 


§189. 


Copying Prohibited. 


§237. 


§190. 


Appeal from Written Examination. 


§ 238. 


§193. 


Formula Rating. 


§239. 


§194. 


Rating by Interview. 




§195. 


Conduct of Interviews. 


§240. 


§ 196. 


Composition of Panels. 




§ 197. 


Prohibited Membership. 


§241. 


§ 197.5. 


Disqualification of Interviewer, 
Rater or Administrator Related to 
Competitor. 


§242. 


§198. 


Competitive Ratings. 


Article 10. 


§199. 


Minimum Qualifying Ratings. 


§250. 


§ 199.1. 


Alternate Ratings. 





Page 

Reports on Promotional 

Competitors. 

Special Inquiry. 

Appeal from Qualifications 

Appraisal Panel. 

Employee Development Appraisal. 

Announcement to Employees. 

Competitive Rafings. 

Minimum Qualifying Rafing. 

Classes to Which Applicable. 

Appeal from Employee 

Development Appraisal Rating. 

Limitation. 

Composition of Employee 

Development Appraisal Review 

Committee. 

Computing Examination Score. 

Minimum Rating Required. 

Qualifying for Lower Class. 

Medical or Physical Requirements. 

Notice of Examination Result. 

Establishing List in Case of Tie. 

Eligibility. 

Limitations on Administrative 

Hearing or Medical Interpreter 

Certification for Non-Citizens. 

Use of Out-of-Class Experience in 

Meeting Minimum Qualifications 

for an Examination. 

Preemployment Testing for Drug 

Usage. 

Notice of Drug Testing in 

Examination Announcements. 

Drug Testing of Current Employees 

and Individuals Reinstating. 

Laboratories Authorized to Conduct 

Drug Testing. 

Required Components for Drug 

Testing. 

Consequences of Drug Use. 

Appeal of a Disqualification 

Resulting from a Failed Drug Test or 

Background Investigation Report. 

Demonstration Project: Examination 

for Managerial Classifications. 

Demonstration Project; Health and 

Welfare Agency Data Center 

Examinations and Appointments. 

Health and Welfare Agency Data 

Center Demonstration Project 

Competitive Evaluations. 

Health and Welfare Agency Data 

Center Demonstration Project 

Notices of Examination Results. 

Promotion 20 

General Reference. 

Examinafions. 

Eligibility. 

Promotional Examination 

Eligibility. 

Eligibility of Employees Who Have 

Moved to Another Agency. 

Eligibility — Other Persons. 

Probationers. 

Qualifications. 

Performance Report. 

Competing Promotionally in Open 

Examinations. 

Effect of Resignation on 

Promotional List Eligibility. 

Limitation of Promofional Lists. 

Certification to Limited Term 

PosiUons. 

Appointments 21 

Requirement That Selection Be 
Based on Merit and Fitness. 



Page ii 



(7-18-2008) 



Title 2 



State Personnel Board 



Table of Contents 



§251. 
§ 252. 
§ 253. 
§ 254. 

§254.1. 



§ 254.2. 
§ 255. 
§ 256. 
§ 257. 

§ 258. 

§ 259. 

§260. 

§261. 

§262. 

§263. 

§264. 

§265. 

§266. 

§266.1. 

§ 266.2. 

§ 266.3. 

§ 275. 

§ 276.2. 

§277. 
§279.1. 

§ 279.2. 

§ 279.3. 
§ 279.4. 

Article 11. 

§281. 
§282. 

Article 12. 

§300. 
§301. 
§302. 

§302.1. 
§ 302.2. 

§ 302.3. 

§303. 

§304. 

Article 13. 
§311. 
§313. 

Article 14. 

§321. 
§321.5. 



§322. 
§323. 

§324. 
§325. 
§326. 
§327. 

Article 15. 

§340. 
§341. 

§342. 
§344. 



Page 

Request for Certification. 

To Fill New Positions. 

Certification to 60-Day Position. 

Appointment Following 

Certification. 

Designation of Classes as 

Professional, Scientific, 

Administrative, Management or 

Executive. 

Three Rank Certification. 

Certificafion in Case of Waiver. 

Certification to Laborers' Positions. 

Cancellation of Request for 

Certification. 

Reply to Inquiry Following 

Certification. 

Failure to Respond to Telegram. 

Failure to Respond. 

Waiver of Certification. 

Waiver of Appointment. 

Appointment Substantiation. 

Certification from Comparable List. 

Temporary Authorization. 

Correction of Appointments. 

Remedial Measures. 

Right to Respond. 

Right to Appeal. 

Transferring into State Civil 

Service. 

Transferring into State Civil 

Service. 

Change in Time Base. 

Definition of a Personal Services 

Contract. 

Undercut of State's Wage in 

Cost-Savings Based Contracts. 

Affirmative Acfion Impact. 

Amount of Savings 

Limited Term Appointments 24.1 

Acquisition of Permanent Status. 
Termination. 

Emergency Appointments 24.1 

General. 

Procedure. 

Review of Emergency 

Appointment. 

Extreme Emergencies. 

Appointments for Short-Duration 

Work. 

Acting Assignments. 

Duration of Employment. 

Reinstatement After Emergency 

Appointment. 

Reinstatement 25 

After Resignation. 
Demoted Employee. 

Probationary Period 25 

Extension of Probationary Periods. 

Probationary Period of Reappointed, 

Reinstated, Demoted or Transferred 

Employees. 

Probationary Period Requirements. 

Performance Appraisal of 

Probationers. 

Duty to Reject Probationer. 

Duty to Report Delinquencies. 

Restoration to Eligible List. 

Cancellation or Withdrawal of 

Notice of Rejection. 



Performance Reports . . 
Performance Appraisal. 
Annual Reports. 
Semiannual Reports. 
Preparation and Scoring. 



26 



Page 

§ 345. Notice to Employee. 

§ 346. Appeals from Performance Report. 

Article 16. Absences 27 

§ 360. Rest Periods. 

Article 17. Vacations 27 

§ 381 . Credit for Full-Time Employment. 

Article 18. Sick Leave 27 

§ 401 . Definitions. 

Article 18.5. Industrial Disability Leave 27 

§ 417.3. Medical Officer's Responsibilities. 

Article 18.6. Nonindustrial Disability 

Insurance 27 

Article 19. Transfer 27 

§ 425. To Another Agency. 

§ 426. Temporary Assignments or Loans. 

§ 427. Interjurisdictional Employee 

Exchange. 
§ 430. General. 

§431. Salary and Class Level 

Comparisons. 
§ 432. Class Series. 

§ 433. Voluntary Transfers Between 

Classes. 
§ 433.1. Voluntary Transfers Between 

Classes— Bargaining Unit 10 

Employees. 
§ 434. Involuntary Transfer Between 

Classes. 
§ 435. Consecutive Transfer. 

§ 438. Temporary Assignments for 

Training and Development. 
§ 439. Status Requirement. 

§ 440. Promotions. 

§ 441 . Consecutive Temporai^y 

Assignments. 
§ 442. Temporary Assignment to Meet 

Compelling Management Needs. 
§ 443. Temporary Assignments for Injured 

Employees. 
§ 444. Publication and Screening. 

Article 20. Separations from Service 31 

§ 445. Resignation from State Service. 

§ 446. Temporary and Permanent 

Separations. 
§ 447. Continuity of Intermittent 

Employment. 
§ 448. Automatic Resignation of 

Intermittent Employees. 

Article 21. Layoff Review 32 

§ 458. Corrective Action Initiated by the 

Executive Officer. 
§ 470. General. 

§470.1. Definitions. 

§ 47 1 . Layoff Impact Determination. 

§471.1. Appeals. 

§ 472. Past Hiring Practices Hearing. 

§ 473. Considerations, Board 

Determination. 

Article 22. Duration Appointments 34 

§ 500. Effecfive Date. 

§ 501 . Scope and Application. 

§ 502. Definitions. 

§ 503. Duration Examinations. 

§504. Certification of Eligibles. 

§ 505. Probationary Period for Duration 

Appointment. 

§506. Eligibility for Promotion. 

§507. Reports of Performance. 

§ 508. Counting of Duration Service. 

§ 509. Layoff. 

§510. Leave of Absence. 



Page iii 



(7-18-2008) 



Table of Contents 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



Page 



§511. 


Discipline and Demotion. 




Article 3. 


§ 512. 


Reinstatement. 






§513. 


Termination. 






§ 520. 


Personnel Reduction. 






§521. 


Reduced Worktime Schedules. 






§ 522. 


Return to Full-Time Work. 






§ 523. 


Layoff of Reduced Worktime 








Employees. 




§ 547.64. 


§ 524. 


Rights of Employees. 




§ 547.65. 


§ 525. 


Reporting Programs. 




Article 4. 


Article 23. 


Training 


. . 36 




§ 530. 


In-Service Training — Definitions. 






Article 24. 


Employer-Employee Relations . . 


. . 36 




§ 540. 


Definition of a Grievance. 






Article 25. 


Discrimination 


. . 36 




§ 547. 


Discrimination Prohibition. 




§ 547.66. 


§547.1. 


Procedure for Resolving 
Discrimination Complaints. 






§ 547.2. 


Standards. 




Article 5. 


Article 26. 


Mandatory Retirement 


. . 36 




§ 547.20. 


Eligibility. 






§547.21. 


Determination of Eligibility. 






§ 547.22. 


Application for Certificate. 






§ 547.23. 


Expiration and Recertification. 




§ 547.67. 
§ 547.68. 


§ 547.24. 


Appeal Rights. 




§ 547.25. 


Appeal Process. 






§ 547.26. 


Temporary Certifications. 




Article 6. 


§ 547.27. 


Return Rights. 






Article 27. 


Discriminatory Employment 








Practices 


.. 37 


§ 547.69. 


§ 547.30. 


Objectives. 






§547.31. 


Definitions. 




§ 547.70. 


§ 547.32. 


Hearings. 






§ 547.33. 


Remedial Order. 




§ 547.71. 


§ 547.34. 


American Indian Verification. 




§ 547.72. 


Article 28. 


Limited Examination and 




§ 547.73. 




Appointment Program 


.. 37 


§ 547.74. 


§ 547.50. 


Scope. 






§547.51. 


LEAP Eligibility Criteria. 




Subchapter L7. 


§ 547.52. 


LEAP Readiness Evaluations. 




§ 547.53. 


Appointment to a LEAP 








Classification. 




Article \. 


§ 547.54. 


LEAP Job Examination Period. 






§ 547.55. 


Extension or Reduction in Job 








Examination Period. 




§ 547.80. 


§ 547.56. 


Transition from LEAP Position to 
Regular Civil Service Position. 




§547.81. 


§ 547.57. 


Termination During Job 








Examination Period. 




Subchapter L8. 


Subchapter 1.5. 


Personal Services 




Article L 




Contracts 


.. 40 


§ 547.82. 


Article 1. 


Definitions 


.. 40 


Article 2. 


§ 547.59. 


Definition of a Personal Services 
Contract. 






Article 2. 


Procedures for Reviewing 




§ 547.83. 
§ 547.84. 




Personal Services Contracts 




§ 547.85. 




Proposed or Entered Into 




§ 547.86. 
§ 547.87. 




Pursuant to Government Code 








§19130(b) 


.. 40 


Subchapter 2. 


§ 547.60. 


Standard and Control for Approval 








of Contracts. 




Article 1. 


§547.61. 


Employee Organization's Request 




§548. 
§548.1. 


§ 547.62. 


for Review. 

State Agency's Response. 




§ 547.63. 


Employee Organization's Reply. 




Article 2. 



Page 

Supplemental Procedures for 
Reviewing Personal Services 
Contracts Executed Under 
Either Government Code 
§19130(a)or§19130(b) 40.] 

Executive Officer Decision. 

Evidenfiary Hearing. 

Procedures for Appealing an 

Executive Officer's 

Decision Approving or 

Disapproving a Contract 

Under Government Code 

§19130(a)or§19130(b)to 

the Board 40.1 

Appeal from an Execufive Officer's 

Decision. 

Procedures that Apply to 
Review Proceedings for 
Contracts Executed Under 
Government Code §19 130(a) 
or§19130(b) 40.2 

General Procedures. 

Intervention. 

Procedures that Apply to 
Contracts Under Government 
Code§19130(a) 40.2 

State Agency Notice of Intent to 

Execute Cost Savings Personal 

Services Contract. 

Employee Organization's Request 

for Review. 

State Agency Reply. 

Undercut of State's Wage in 

Cost-Savings Based Contracts. 

Amount of Savings 

Equal Employment Opportunity 

Impact. 

Equal Employment 

Opportunity Program 40.6 

State Work Force Data 

Collection and Evaluation 40.6 

Definitions. 

Establishment of Annual Equal 

Employment Opportunity Goals for 

Minorities and Women. 

Upward Mobility 40.6 

Definitions 40.6 

Definitions. 

Upward Mobility Program 
Plans, Goals, and Related 
Procedures 40.7 

Coordinator. 

Plan Elements. 

Employee Selection. 

Upward Mobility Goals. 

Board Review and Response. 

Career Executive 

Assignment Rules 40.7 

General 40.7 

Scope. 
Purpose. 

Position Assignment 40.8 



Page iv 



(7-18-2008) 



Title 2 



State Personnel Board 



Table of Contents 



Page 

§ 548.5. Career Executive Assignment 

Category. 
§ 548.6. Reporting New Positions or Duty 

Changes. 
§ 548.7. Use of Code Symbol. 

Article 3. Compensation 41 

§ 548.20. Salary Ranges. 

§ 548.22. Flexibility in Form of 

Compensation. 
§ 548.23. Rate of Movement Upon Promotion 

to a Career Executive Assignment 

Position. 
§ 548.24. Bonus Compensation. 

§ 548.25. Red Circle Rates. 

Article 4. Employment Lists 41 

§ 548.30. Career Executive Assignment 

Examinations. 
§ 548.32. Roster Merging. 

Article 5. Examinations 41 

§ 548.40. Competitive Examinations. 

§ 548.41. Examination Announcements. 

§ 548.42. Refusal to Examine or Approve 

Appointments. 
§ 548.43. Availability of Information on 

Examination Method. 
§ 548.44. Security Measures. 

§ 548.45. Inspection of Examination Papers 

and Executive Assessment and 

Potential Ratings. 
§ 548.46. Disqualification of Persons Related 

to Competitor. 
§ 548.47. Fitness for Managerial Posts. 

§ 548.48. Ratings of Performance and 

Potential. 
§ 548.49. Appeal From Examination or 

Departmental Appointment. 
§ 548.50. Expenses. 

§ 548.52. Written Examinations. 

Article 6. Promotion 43 

§ 548.60. Promotional Examination 

Eligibility. 
§ 548.61. Rights of Disadvantaged Employee. 

§ 548.62. Resignation of Eligible. 

Article 7. Appointments 43 

§ 548.70. Eligibility for Appointments. 

§ 548.71. Request for Certification. 

§ 548.72. Appropriate Lists. 

§ 548.73. Categories of Qualification. 

§ 548.74. Certification of the Roster. 

§ 548.75. Duty to Respond to Notice. 

§548.76. Waiver of Certification. 

§ 548.77. Report of Appointment. 

Article 8. Reinstatement 44 

§ 548.90. Reinstatement of Employee. 

§ 548.9 1 . Reinstatement of Former Employee. 

§ 548.92. Breaks in Service. 

Article 9. Transfer 44 

§548.95. Transfer of Employee. 

§ 548.96. Transfer of Employee From General 

Civil Service to a Career Executive 

Assignment. 

Article 10. Performance Appraisal 44 

§ 548.100. Method of Appraisal. 

Article 1 1 . Absences 44 

§ 548. 1 1 0. Leave of Absence. 

Article 12. Military and Defense 

Service 44 



§548.115. 



Right to be Considered. 



Article 13. 


Service — General 


§548.120. 


Responsibilities and Privileges. 


§548.121. 


Unauthorized Employment. 


§548.122. 


Medical Examination. 


§.548.123. 


Good Faith. 


§548.124. 


Coirection of Appointments. 


Article 14. 


Interjurisdictional 




Exchange 


§ 548.130. 


Interjurisdictional Exchange. 


Article 15. 


Termination of Assignment 


§548.135. 


Notice of Terinination. 


§548.136. 


Appeal from Termination. 


§548.137. 


Termination Upon Request of 




Employee. 


§548.138. 


Reduction in Force. 


§548.139. 


Seniority Credits. 


Article 16. 


Separations from State 




Service 


§548.145. 


Separation of Employee. 


Article 17. 


Reinstatement Following 




Termination 


§548.150. 


Definition. 


§548.151. 


Reinstatement to Former Position 




Following Termination. 


§ 548.152. 


Permissive Reinstatement. 


§548.153. 


Mandatory Reinstatement. 


§548.154. 


Sequence of Reinstatement. 


§548.155. 


Probationary Period. 


Subchapter 3. State Personnel Board — 



Page 



44.1 



44.1 



44.1 



44.1 



44.2 



Conflict of Interest 

Code 

§ 549. General Provisions. 

Appendix 

Subchapter 4. Demonstration Project and 
Performance Based Budget 
Pilot Project Rules 
(Promulgated Under 
Authority of Government 
Code Sections 11808, 
18701, and 19600) 



44.3 
44.3 



44.4 



Article 1. 



§ 549.5. 



§ 549.6. 



§ 549.7. 



§ 549.8. 



I 549.9. 



Demonstration Projects — 
Department of General 

Services 44.4 

Class; Department of General 
Services — Career Management 
Assignment and Career Supervisory 
Assignment. 

Examinations; Department of 
General Services — Career 
Management Assignment and 
Career Supervisory Assignment. 
General Reemployment Lists; 
Department of General 
Services — Career Management 
Assignment and Career Supervisory 
Assignment. 

Departmental or Subdivisional 
Reemployment Lists; Department of 
General Services — Career 
Management Assignment and 
Career Supervisory Assignment. 
PtobalwiA; Departvnent ot~ GenetaV 
Services — Career Management 
Assignment and Career Supervisory 
Assignment. 



Page V 



(7-18-2008) 



Table of Contents 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



Page 

vj 549.10. Appeal from Rejection During 

Probation; Department of General 
Services — Career Manageinent 
Assignment and Career Supervisory 
Assignment. 

§ 549. 1 1 . Tenure of Managerial and 

Supervisory Employees; 
Department of General 
Services — Career Management 
Assignment and Career Supervisory 
Assignment. 

§ 549.12. Selection and Examinations; 

Depaitnient of General Services. 

Article 2. Demonstration Project — Health 
and Welfare Agency Data 
Center 44.5 

§ 549.30. Demonstration Project; Health and 

Welfare Agency Data Center 
Examinations and Appointments. 

§ 549.31 . Health and Welfare Agency Data 

Center Demonstration Project 
Competitive Evaluations. 

§ 549.32. Health and Welfare Agency Data 

Center Demonstration Project 
Notices of Examination Results. 

§ 549.33. Demonstration Project; Health and 

Welfare Agency Data Center; 
Definition of "Class"; Establishment 
of Minimum Qualifications. 

§ 549.34. Demonstration Project; Health and 

Welfare Agency Data Center; 
Voluntary Transfer Between 
Classes. 

Article 3. Performance Based Pilot 

Projects — Department of 

Consumer Affairs 44.6 

§ 549.40. Selection and Examinations; 

Department of Consumer Affairs. 

Article 4. Demonstration Project — Multi- 
Departmental 44.7 

§ 549.50. Demonstration Project; Examination 

for Managerial Classifications. 

Article 5. Demonstration Project — 

Managerial Selection and 
Classification 
Consolidation and 
Broadbanding — Servicewide by 

Departmental Option 44.7 

§ 549.60. Definition of "Class" and 

Establishment of Minimum 
Qualifications; Managerial Selection 
and Classification Consolidation 
and Broadbanding — Demonstration 
Project. 
§ 549.61. Selection and Examinations; 

Managerial Selection and 
Classification Consolidation and 
Broadbanding Demonstration 
Project. 



§ 549.62. 



§ 549.63. 



§ 549.64. 



§ 549.65. 



§ 549.66. 



§ 549.67. 



Article 6. 



§ 549.70. 
§549.71. 
§ 549.72. 
§ 549.73. 

§ 549.74. 

Article 7. 

§ 549.80. 

Article 8. 

§ 549.90. 

Article 9. 

§ 549.95. 



Page 

Appointment; Managerial Selection 

and Classification Consolidation 

and Broadbanding Demonstration 

Project. 

General Reemployment Lists; 

Managerial Selection and 

Classification Consolidation and 

Broadbanding Demonstration 

Project. 

Departmental or Subdivisional 

Reemployment Lists; Managerial 

Selection and Classification 

Consolidation and Broadbanding 

Demonstration Project. 

Probation; Managerial Selection and 

Classification Consolidation and 

Broadbanding Demonstration 

Project. 

Transfer Between Classes; 

Managerial Selection and 

Classification Consolidation and 

Broadbanding Demonstration 

Project. 

Compensation; Managerial 

Selection and Classification 

Consolidation and Broadbanding 

Demonstration Project. 

Legislative Counsel Bureau — 
Special Examination and 
Appointment Program 44.8 

Legislative Counsel Bureau: 

Examinations and Appointments. 

Legislative Counsel Bureau: 

Competitive Evaluations. 

Legislative Counsel Bureau: Notice 

of Examination Results. 

Legislative Counsel Bureau: 

Definition of "Class" and 

Establishment of Minimum 

Qualificafions. 

Legislative Counsel Bureau: 

Voluntary Transfer Between 

Classes. 

Department of Motor Vehicles — 
Special Examination and 
Appointment Program 44.9 

Department of Motor Vehicles: 

Managerial and Supervisory 

Selection and Examination. 

California Department of 

Transportation 44.9 

California Department of 
Transportation Managerial Selection 
Program. 



Demonstration Project — 

Prison Industry Authority 

Prison Industry Authority 
Managerial and Supervisory 
Selection Demonstration Project. 



44.9 



Page vi 



(7-18-2008) 



Title 2 



State Personnel Board 



§8 



TITLE 2. ADMINISTRATION 



Division 1. Administrative Personnel 



Chapter 1 . State Personnel Board 



Subchapter 1. General Civil Service 
Regulations 

(Originally Printed 3-22-45) 

PREFATORY NOTE 

Articles 1 through 25, inclusive, are promulgated under the authority of Section 
18701, Government Code, unless otherwise noted. 



Article 1. Definitions 

For the statutory definitions, refer to Section 1 8520 of the Act and sec- 
tions following. 

§ 1 . Definitions. 

Unless the context requires otherwise, the definitions hereinafter set 
forth govern the construction of these regulations. 

History 

1. Chapter 1 originally published 3-22-45 (Title 2). 

2. Revision of chapter 1 filed 4-1 1-47; effective 5-1 1-47 (Register 7). 

3. Repealer of Note filed 4-8-77; effective thirtieth day thereafter (Register 77, 
No. 15). 

4. Change without regulatory effect amending subchapter heading and section 
filed 9-16-92 pursuant to section 100, title 1, California Code of Regulations 
(Register 92, No. 39). 

§2. Act. 

"Act" means the State Civil Service Act and Part 1 of Division 5 of 
Title 2 of the Government Code of the State of California. 

§ 3. Agency. 

"Agency" includes "department," "board," "office," "authority," 
"commission," and every other governmental unit. 

§ 3.5. Appointing Power. 

"Appointing Power" means a person or group defined by statute as 
having authority to make appointments to positions in the state civil ser- 
vice. This in no way affects the delegation of authority, as defined in Sec- 
tion 7 of the Government Code. 

History 
1. New section filed 1 1-1-72; effective thirtieth day thereafter (Register 72, No. 

45). 

§ 4. Board. 

"Board" means the State Personnel Board of the State of California. 

§ 5. Employee. 

"Employee" includes every officer and employee subject to the act or 
these regulations. 

History 
1. Change without regulatory effect amending section filed 9-16-92 pursuant to 

section 100, title 1, California Code of Regulations (Register 92, No. 39). 

§ 6. Executive Officer. 

"Executive Officer" means the executive officer of the board. 

§ 6.1 . Use of Month or Calendar Month. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Section 
18538.1, Government Code. 



History 

1 . Amendment filed 1 1-7-69; effective thirtieth day thereafter (Register 69, No. 
45). For prior history, see Register 68, No. 49. 

2. Amendment of NOTE filed 4-8-77; effective thirtieth day thereafter (Register 
77, No. 15). 

3. Repealer filed 8-28-85; effective thirtieth day (hereafter (Register 85, No. 35). 

§ 6.2. Qualifying Monthly Pay Period. 

NOTE; Authority cited: Section 18701, Government Code. Reference: Sections 
18538.1 and 19533.04, Govemment Code. 

History 

1 . Amendment of NOTE filed 4-8-77; effective thirtieth day thereafter (Register 
77, No. 15). For prior history, see Register 69, No. 45. 

2. Amendment filed 1 1-1 5-78; effective thirtieth day thereafter (Register 78, No. 

45). 

3. Amendment filed 10-3-80; effective thirtieth day thereafter (Register 80, No. 

40). 

4. Repealer filed 8-28-85; effective thirtieth day thereafter (Register 85, No. 35). 

§ 6.3. Qualifying Monthly Pay Period for Hourly and Daily 
Rate Employees. 

NOTE: Authority cited: Section 18701, Govemment Code. Reference: Sections 
18538.1, 19530 and 19533.04, Govemment Code. 

History 

1. New section filed 10-3-80; effective thirtieth day thereafter (Register 80, No. 
40). 

2. Repealer filed 8-28-85; effective thirtieth day thereafter (Register 85, No. 35). 

§ 6.4. Break in Service. 

For the purposes of the act and these regulations, an employee shall be 
deemed to have a break in the continuity of his or her state civil service 
due to a permanent separation only if: 

(a) the employee permanently separates from state service as defined 
by Section 446 and 

(b) then remains outside state service for at least eleven consecutive 
working days. 

NOTE: Authority cited: Section 18701, Govemment Code. Reference: Sections 
19996.1 and 19998.3, Government Code. 

History 

1 . New secfion filed 8-28-85; effective thirtieth day thereafter (Register 85, No. 

35). 

2. Change without regulatory effect amending section and Note filed 9-16-92 
pursuant to secfion 100, title 1 , California Code of Regulations (Register 92, No. 
39). 

§ 7. Regulations. 

"Regulations" means the regulations of the board. 
History 

1. Change without regulatory effect amending section filed 9-16-92 pursuant to 
section 100, title 1, Califomia Code of Regulations (Register 92, No. 39). 

§ 8. Good Faith Appointment Requirements and Sanctions 
for Violation. 

To be valid, a civil service appointment must be made and accepted 
in "good faith" under the civil service statutes and board regulations. For 
purposes of administering the civil service statutes, including Govem- 
ment Code Secfions 19257 and 19257.5 and board Regulations, "good 
faith" is presumed to exist in the following circumstances: 

(a) In order to make an appointment in "good faith," an appointing 
power and all officers or employees to whom an appointing power dele- 
gates appointment authority must: 

(1) Intend to observe the spirit and intent of the law; and 

(2) Make a reasonable and serious attempt to determine how the law 
should be applied; and 



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§9 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



(3) Assure that positions are properly classified; and 

(4) Assure that appointees have appropriate civil service appointment 
eligibility; and 

(5) Intend to employ the appointee in the class, tenure and location to 
which appointed under the conditions reflected by the appointment docu- 
ment; and 

(6) Make a reasonable and serious attempt to provide the relevant ref- 
erence materials, training, and supervision necessary to avoid any mis- 
takes of law or fact to the persons responsible for the pertinent personnel 
transactions; and 

(7) Act in a manner that does not improperly diminish the rights and 
privileges of other persons affected by the appointment, including other 
eligibles. 

Any officer or employee who violates any of the foregoing provisions 
of this regulation, or any other officer or employee in a position of author- 
ity who directs any officer or employee to violate any of these provisions, 
shall be subject to civil or criminal sanctions as provided in Government 
Code Sections 19680, 19681, 19682, 19683, 19764, as well as adverse 
action as provided in Government Code Sections 19572, 19583.5, or 
19682. 

(b) In order to accept an appointment in "good faith," an employee 
must: 

(1) Intend to serve in the class to which the employee is being ap- 
pointed under the tenure, location and other elements of the appointment 
as reflected by the appointment document; and 

(2) Provide the appointing power with complete, factual, and truthful 
information necessary for a proper appointment; and 

(3) Make a reasonable attempt to seek correction of any aspects of the 
appointment that the employee knows are illegal. 

Violation of any of the foregoing provisions of this section by an em- 
ployee shall be cause for adverse action. 

If a lack of good faith exists on the part of either the appointing power 
or the employee, the executive officer may cancel the improper appoint- 
ment without regard to the one-year limitation set forth in Government 
Code Section 19257.5 subject to the provisions of Section 266. 

NOTE; Authority cited: Section 18701, Government Code. Reference: Sections 
19257, 19257.5, 19572, 19583.5, 19680, 19681, 19682 and 19683, Government 
Code. 

History 

1 . New section filed 1-21-80 as procedural and organizational; effective upon fil- 
ing (Register 80, No. 4). 

2. Amendment filed 1-18-82; effective thirtieth day thereafter (Register 82, No. 
4). 

3. Change without regulatory effect amending opening paragraph, subsections 
(a)(7) and (b)(3) filed 9-16-92 pursuant to section 100, title 1, California Code 
of Regulations (Register 92, No. 39). 

§ 9. Compensation. 

The word "compensation" as used in Government Code Section 
19257 includes salary, vacation, sick leave, health benefits, retirement 
benefits, salary step advancement and State service credit for determin- 
ing vacation earning rates and eligibility for a salary above the minimum 
rate when legally appointed to the class. Industrial Disability Leave, 
Nonindustrial Disability Insurance benefits and red circle rates. "Com- 
pensation" also includes the continuity of service when used to determine 
the employee's eligibility for these compensation items. 

"Compensation" as used in Government Code Section 1 9257 does not 
include tenure in a position, seniority credits, permissive reinstatement, 
eligibility, mandatory reinstatement rights, eligibility to take promotion- 
al examinations, career credits, permanent or probationary status and ser- 
vice toward compJetion of the probationary period; norcontinuity of ser- 
vice when used to determine the employee's right to or eligibility for any 
of the foregoing. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Section 
19257, Government Code. 



History 

1. New section filed 1-18-82; effective thirtieth day thereafter (Reeister 82, No. 

4). 

§10. Disability. 

(a) "Individual with a disability" means, with respect to an individual 
(1) having a physical or mental impairment that substantially limits one 
or more major life activities of such individual; (2) having a record of 
such impairment; or (3) being regarded as having such an impairment. 

(b) "Physical Impairment" means any physiological disorder, or con- 
dition, cosmetic disfigurement, or anatomical loss affecting one or more 
of the body systems: neurological, musculoskeletal, special sense or- 
gans, respiratory (including speech organs), cardiovascular, reproduc- 
tive, digestive, genito-urinary, hemic and lymphatic, skin and endocrine. 

(c) "Mental impairment" means any mental or psychological disorder, 
such as mental retardation, organic brain syndrome, emotional or mental 
illness, and specific learning disabilities. 

(d) "Major life activities" means activities that an average person can 
perform with little or no difficulty, such as: walking, speaking, breathing, 
performing manual tasks, seeing, hearing, learning, caring for oneself, 
working, sitting, standing, lifting, or reaching, etc. 

(e) "Substantially limits" means the individual with a disability is: 1) 
unable to perform a major life activity that the average person in the gen- 
eral population can perform; or 2) significantly restricted as to the condi- 
tion, manner or duration under which the average person in the general 
population can perform that same major life activity. 

NOTE; Authority cited: Sections 18701, 19231, 19241 and 19792, Government 
Code. Reference: Sections 19230, 19231 and 19240-44, Government Code; and 
Federal Public Health and Welfare Code, Title 42, Chapter 126, Sections 
1210I-I21I7 (Americans with Disabilities Act of 1990 [ADA]). 

History 

1. New section filed 10-20-94; operative 11-21-94 (Register 94, No. 42). 

Article 2. General Provisions 

For the General Provisions of the State Civil Service Act, refer to Sec- 
tion 18570 of the act and sections following. 

§ 21 . Citation of Regulations. 

Each section of these regulations is a regulation of the board and may 
be cited as such. Thus, this section, whether appearing in the California 
Code of Regulations or elsewhere, may be cited as "Section 21" or "2 
CCR 21 ." 

History 

1. Change without regulatory effect amending section heading and text filed 
9- 1 6-92 pursuant to section 1 00, tide 1 , California Code of Regulations (Regis- 
ter 92, No. 39). 

§ 22. Effect of Headings. 

Article and section headings contained herein shall not be deemed to 
govern, limit, modify or in any manner affect the scope, meaning, or in- 
tent of the provisions of any article or section hereof. 

§ 23. Continuing Provisions. 

The provisions of these regulations, insofar as they are substantially 
the same as regulations of the board superseded hereby and relating to the 
same subject matter, shall be construed as restatements and continuations 
and not as new enactments. Rights, privileges, and remedies accrued un- 
der any regulations superseded by these regulations are continued in full 
force and effect unless abolished by some contrary provision herein. 

History 
1. Change without regulatory effect amending section filed 9-16-92 pursuant to 

section 100, dtle 1, California Code of Regulations (Register 92, No. 39). 

§ 24. Reports. 

In order that the work of the board may be expedited, the appointing 
power of every state agency shall file with the board such reports as the 
board or the executive officer may require. Reports shall be submitted on 
such forms and filed at such times as may be prescribed by the board or 
the executive officer. 



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Title 2 



State Personnel Board 



§37 



Article 3. Administration 

For the general statutory provisions on this subject, refer to Section 
18650 of the act and sections following. 

§ 31 . Regular Meetings. 

The time and place of each regular meeting of the board shall be fixed 
by the board not less than one month preceding the dale of the meeting. 
Note-. Reference: Sections 18652 and 18653, Government Code. 

History 

1. Amendment filed 3-9-59; effective thirtieth day thereafter (Register 59, No. 5). 

2. Amendment of NOTE filed 4-8-77; effective thirtieth day thereafter (Register 
77, No. 15). 

§ 32. Special Meetings. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Section 
1 1 125, Government Code. 

History 

1 . Amendment filed 10-26-79; effective thirtieth day thereafter (Register 79, No. 
43). 

2. Repealer 12-31-85; effective thirtieth day thereafter (Register 86, No. 1). 

§ 33. Emergency Meetings. 

Emergency meetings of the board shall be called by the president of 
the board at any time and place within the State of California upon the 
request of not less than three members of the board. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Sections 
1 1 125.5 and 1 8653, Government Code 

History 
1 . Amendment filed 1 2-31-85; effective thirtieth day thereafter (Register 86, No. 
1). 

§ 34. Calendar. 

(a) All matters to be presented for consideration by the board at a regu- 
lar meeting shall be placed upon the board's calendar without undue 
delay. The calendar agenda shall be distributed to every party who has 
requested a copy at least ten days prior to such regular meeting. 

(b) The non-hearing calendar is defined as agenda items submitted by 
either the board staff or the Department of Personnel Administration staff 
which the executive officer determines can be acted upon by the board 
without a hearing. 

(c) Interested parties with concerns or who oppose any item on the 
non-hearing calendar may submit a written notice to the executive offi- 
cer slating the nature of the concern or opposition, and explaining how 
the issue of concern is a merit employment matter within the board's 
scope of authority as set forth in the State Civil Service Act (Government 
Code Section 18500 el seq.) and Article VII, CaUfomia Constitution. 
Such written notice must be received by the executive officer not later 
than close of business on the Wednesday before the board meeting at 
which the item is scheduled. 

(d) In investigating matters outlined in subsection (c) the executive of- 
ficer shall act as the board's authorized representative, and shall recom- 
mend to the board either (1) to act on the agenda item as submitted, with- 
out a hearing or (2) to hear the item, including a staff recommendation 
on resolution of the merit issues in dispute. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Sections 
11125, 18654.5 and 18675, Government Code. 

History 

1 . Amendment filed 3-9-59; effective thirtieth day thereafter (Register 59, No. 5). 

2. Repealer of Note filed 4-8-77; effective thirtieth day thereafter (Register 77, 
No. 15). 

3. Amendment filed 12-31-85; effective thirtieth day thereafter (Register 86, No. 
1). 

4. Amendment of section filed 9-30-91; operative 10-30-91 (Register 91, No. 

52). 

5. Editorial correction adding inadvertently omitted subsection (d) (Register 95, 
No. 5). 



§ 34.5. Notice of Regular Meeting Agenda. 

Whenever notice of an agenda item is required to be given of inatters 
to be heard or considered by the board and a different method is not pro- 
vided, the executive officer shall cause a notice to be posted at the office 
of the board at Sacramento at least ten ( 10) days before the date of hearing 
giving the nature of the matter and giving notice that all persons inter- 
ested may appear, at a time and place mentioned in the notice, in support 
of or in opposition to the matter. Notice of agenda item shall be provided 
at least ten days in advance of the meeting date, to any person who re- 
quests such notice in writing. In cases of emergency the executive officer 
may shorten the period of notice to not less than one (1) hour. 
NOTE; Authority cited: Section 18701. Government Code. Reference: Sections 
11125, n 125.5 and 18575, Government Code. 

History 

1. New section filed 1 1-7-49 (Register 18, No. 5). 

2. Amendment of NOTE filed 4-8-77; effective thirtieth day thereafter (Register 
77, No. 15. 

3. Amendment filed 12-31-85; effective thirtieth day thereafter (Register 86, No. 
1). 

§ 35. Continuances of Items Under Submission. 

All matters appearing on the calendar that are not disposed of by a mo- 
tion to vote by the board shall be considered as items under submission 
and shall appear on subsequent calendar(s) as items of unfinished busi- 
ness until such a motion is made. 

Items may be taken under submission whenever time does not permit 
sufficient deUberation to call for a motion to vote or when the board re- 
quires additional information prior to voting. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Section 
18653, Government Code. 

History 
1. Amendment filed 12-31-85; effective thirtieth day thereafter (Register 86, No. 

1). 

§ 35.5. Reconsideration and Action. 

In any meeting of the board, a vote of three concurring members is re- 
quired to make any action effective whether that action is to grant or deny 
an appeal, request, or other matter properly before the board. Where a 
matter requires such action and a motion to take such action fails for lack 
of three concurring votes, the matter shall not be dropped from the calen- 
dar. Upon the adoption of a motion to reconsider made by any member 
of the board at the same, or succeeding meeting, the matter shall be recon- 
sidered. If a motion to reconsider is not adopted within three months, the 
matter shall be dropped from the calendar and the appeal or request shall 
be deemed denied. 

A member of the board may participate in the reconsideration of a mat- 
ter even though the member was not present during the original consider- 
ation if the interested parties agree or if the member has reviewed a tran- 
script of the proceedings and the documents and other materials before 
the board. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Section 
18653, Government Code. 

History 

1 . New section filed 6-8-59; effective thirtieth day thereafter (Register 59, No. 9). 

2. Amendment of NOTE filed 4-8-77; effective thirtieth day thereafter (Register 
77, No. 15), 

3. Amendment filed 12-31-85; effective thirtieth day thereafter (Register 86, No. 
1). 

§ 36. Roster. 

NOTE: Reference: Section 18704, Government Code. 

History 

1. New section filed 1 1-7-49 (Register 18, No. 5). 

2. Amendment of NOTE filed 4-8-77; effective thirtieth day thereafter (Register 
77, No. 15). 

3. Notice of Repeal filed 6-25-87 by OAL pursuant to Government Code Section 
11343.8; operative 7-25-87 (Register 87, No. 26). 

§ 37. Delegation Authority of the Board and Executive 
Officer. 

Whenever it is stated in these regulations that the "board" may or shall 
exercise or discharge any power, duty, purpose, function, or jurisdiction, 



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§50 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



the State Personnel Board specifically has reserved the same for its own, 
exclusive action. Whenever it is stated that the "board" or the "executive 
otTicer" may or shall exercise or discharge any power, duty, purpose, 
function, or jurisdiction, either the State Personnel Board or the execu- 
tive officer thereof may take action thereon. Whenever it is stated that the 
"executive officer" may or shall exercise or discharge any power, duty, 
purpose, function, or jurisdiction, the executive officer of the State Per- 
sonnel Board has the exclusive power to act thereon. Any party in interest 
may appeal to the State Personnel Board for review of the actions and de- 
cisions of the executive officer. 

Nothing herein prohibits the executive officer from redelegating to 
subordinates or to an appointing power he or she designates as provided 
by Sections 18654 and 18930.5 of the Government Code. 
NOTE: Authority cited: Section 18701, Government Code. Reference: Sections 
18654 and 18930.5, Government Code. 

History 

1. New section filed 7-10-56; effective thirtieth day thereafter (Register 56, No. 
13). 

2. Amendment of section and Note filed 4-8-77; effective thirtieth day thereafter 
(Register 77, No. 15). 

3. Amendment filed 1 1-20-87; operative 12-20-87 (Register 87, No. 48). 

4. Change without regulatory effect amending section filed 9-16-92 pursuant to 
section 100, title 1, California Code of Regulations (Register 92, No. 39). 



Article 3.5. Selection Standards 

§ 50. Merit Selection Manual. 

Each agency and department with delegated or decentralized selection 
responsibilities shall develop and maintain a selection program as speci- 
fied in the State Personnel Board's Merit Selection Manual: Policy and 
Practices, dated October 2003, and in accordance with existing laws and 
rules. The State Personnel Board's Merit Selection Manual: Policy and 
Practices, dated October 2003, is hereby incorporated by reference in its 
entirety. 

NOTE: Authority cited: Sections 1 82 1 1 and 18701 , Government Code. Reference: 
Article 7, Sections 1 and 3, California Constitution; and Sections 18213, 18500, 
18900, 18930, 18950 and 19050, Government Code. 

History 

1. New article 3.5 (section 50) and section filed 2-6-2003; operative 2-6-2003. 
Submitted to OAL for printing only pursuant to Government Code section 
18213(Register2003, No. 7). 

2. Amendment of Merit Selection Manual: Policy and Practices (incorporated by 
reference) and amendment of section and Note filed 5-17-2004; operative 
5-1 7-2004. Submitted to OAL for printing only pursuant to Government Code 
sections 18211 and 18213 (Register 2004, No. 21). 

3. Amendment of Merit Selection Manual: Policy and Practices (incorporated by 
reference) and amendment of section and Note filed 5-17-2004; operative 
5-1 7-2004. Submitted to OAL for prinfing only pursuant to Government Code 
sections 18211 and 18213 (Register 2004, No. 22). 



Article 4. Hearings and Appeals 

§ 51 . Scope of Article. 

The regulations in this article shall apply to all appellants and respon- 
dents and all appeal hearings conducted by the board or its designees. 
NOTE: Authority cited: Section 18701, Government Code. Reference: Section 
18675, Government Code. 

History 

1. Amendment filed 11-7-49 (Register 18, No. 5). 

2. Amendment of NOTE filed 4-8-77; effective thirtieth day thereafter (Register 
77, No. 15). 

3. Amendment filed 4-26-90; operative 5-26-90 (Register 90, No. 22). 

4. Change without regulatory effect amending article heading and section filed 
9-16-92 pursuant to section 100, fitle 1, CaUfornia Code of Regulafions (Regis- 
ter 92, No. 39). 

§51.1. Definitions. 

Unless the context requires otherwise, the following definitions shall 
apply to regulations in this article. 



(a) "Administrative law judge" means a person employed by the board 
to conduct evidentiary hearings under this arficle. 

(b) "Adverse action" means an action taken by an appointing power 
to discipline an employee and includes formal reprimand, suspension, re- 
duction-in-salary, demotion and dismissal. 

(c) "Appeal" means any written request for relief or review filed as 
provided in these regulafions and includes "application," "pefition," 
"protest," and "complaint." 

(d) "Appeals division" means the appeals division of the board. 

(e) "Appellant" means the person, or organization filing any appeal. 

(f) "Hearing office" means the hearing office of the board. 

(g) "Notice" means a written nofice indicating the taking of an adverse 
acfion or rejecfion during probationary period. 

(h) "Party or parfies" means the appellant and the respondent and/or 
their representatives. 

(i) "Rejecfion during probationary period" or "rejection" means an ac- 
fion to remove an employee from a probationary appointment. 

(j) "Respondent" means the person or state agency from whose acfion 

or decision the appellant is seeking relief. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Section 
1 8675, Government Code. 

History 

1 . Renumbering and amendment of former sections 52, 53 and 56 to section 51.1 
filed 4-26-90; operative 5-26-90 (Register 90, No. 22). For prior history, see 
Registers 87, No. 48; and 86, No. 1. 

2. Change without regulatory effect amending opening sentence and subsection 
(c) filed 9-16-92 pursuant to section 100, title 1 , California Code of Regulations 
(Register 92, No. 39). 

§ 51 .2. Requirements for Filing Appeals with the Board. 

Appeals filed with the board shall be subject to the following: 

(a) All appeals shall be written. 

(b) Except for appeals that are automatically assigned to the hearing 
office pursuant to Secfion 52(a), each appeal shall: 

(1) clearly identify the facts that form the basis for appeal; 

(2) idenfify all respondents known to the appellant. 

(c) Unless the appeal names some other respondent, the appellant' s ap- 
poinfing power shall be considered the only respondent. 

(d) The appeals division shall mail or serve a copy of the appeal to or 
on the respondent. 

(e) Except as otherwise provided in the act or these regulations, every 
appeal shall: 

(1) be filed with the board, or the appointing power if required by Sec- 
tion 53.1, within 30 days after the appellant has been served with the no- 
tice, report, or document from which the appeal is taken. 

(2) If there has been no service and none is required, the appeal shall 
be filed within 30 days after the event upon which the appeal is based. 

(3) Upon good cause being shown, the executive officer may allow an 
appeal,except as otherwise limited by statute, to be filed within 30 days 
after the end of the period in which the appeal should have been filed. 
NOTE: Authority cited: Section 18701, Government Code. Reference: Section 
18675, Government Code. 

History 

1 . Renumbering and amendment of former sections 63 and 64 to section 5 1 .2 filed 
4-26-90; operative 5-26-90 (Register 90, No. 22). For prior history, see Regis- 
ter 85, No. 48. 

2. Change without regulatory effect amending subsections (b) and (e)-(e)(l ) filed 
9-1 6-92 pursuant to section 1 00, fitle 1 , California Code of Regulations (Regis- 
ter 92, No. 39). 

§ 51 .3. Assignment of Appeal to Appropriate Review 
Process. 

(a) The execufive officer or his or her designee shall determine the ap- 
propriate review process for each appeal, as follows: 

(1) The general merit system appeals process shall be used for appeals 
described by Secfion 53. 

(2) The hearing office process shall be used for appeals described in 
secfion 52 or when any portion of an appeal is described in Secfion 52. 

(3) The discrimination complaint process described in Section 54 shall 
be used for appeals of appointing power actions other than those covered 
by parts (1) and (2). 



Page 4 



Register 2004, No. 22; 5-28-2004 



Title 2 State Personnel Board §51-4 

(b) This section shall not restrict the board" s abihty to recall any appeal § 51 .4. Hearings are Public. 

for hearing and investigation by it. Every appeal hearing, including the hearing of an adverse action ap- 

NOTE: Authority cited: Section 18701, Government Code. Reference: Section peal, shall be public. 

18675, Government Code. NOTE: Authority cited: Section 18701, Government Code. Reference: Section 

History 1 8675, Government Code. 

1 . New section filed 4-26-90; operative 5-26-90 (Register 90, No. 22). HISTORY 

2. Change without regulatory effect amending section filed 9-16-92 pursuant to 1. Renumbering and amendment of former section 73 to sections 51.4 and 51.5 
section 100, title 1, California Code of Reeuiations (Register 92, No. 39). filed 4-26-90; operafive 5-26-90 (Register 90, No. 22). For prior history, see 

Register 85, No. 48. 



[The next page is 5.] 



Page 4. 1 Register 2004, No. 22; 5 - 28 - 2004 



Title 2 



State Personnel Board 



§52.3 



• 



§ 51 .5. Right to Representation. 

Any party may be represented by counsel or any other person or orga- 
nization of the party's choice in any hearing or investigation conducted 
pursuant to this article. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Section 
1 8675, Government Code. 

History 

1. Renumbering and amendment of former section 73 to sections .'ii.4 and 51.-5 
filed 4-26-90; operative 5-26-90 (Register 90, No. 22). For prior history, see 
Register 85, No. 48. 

§ 51 .6. When Decisions Become Final. 

Unless a proper application for rehearing is made pursuant to Govern- 
ment Code section 19586, every board decision shall become final 30 
days after service by the board of a copy of such decision upon the parties 
to the proceeding in which the decision is rendered. 
NOTE: Authority cited: Section 18701, Government Code. Reference: Section 
19586, Government Code. 

History 
1. Renumbering and amendment of former section 70 to section 51.6 filed 
4-26-90; operative 5-26-90 (Register 90, No. 22). For prior history, see Regis- 
ter 85, No. 48. 

§ 51 .7. Petitioning for Rehearing. 

Either the appellant or the respondent may file a petition for a rehear- 
ing of an appeal decision under the provisions of sections 19586 and 
19587 of the Government Code. 

Action on petitions for rehearing shall be taken within 60 days of the 
service specified in section 19586 of the Government Code. 
NOTE: Authority cited: Section 18701, Government Code. Reference: Section 
19586 and 19587, Government Code. 

History 
1. Renumbering and amendment of former section 69 to section 51.7 filed 
4-26-90; operative 5-26-90 (Register 90, No. 22). For prior history, see Regis- 
ter 85, No. 48. 

§ 51 .9. Request to File Charges Against State Employees. 

A request of the board for consent to file charges under Government 
Code section 19583.5 shall be in writing and shall be accompanied by the 
proposed charges. The statement of proposed charges shall be a sworn 
statement. The statement shall clearly state the facts constituting the 
cause or causes for adverse action in such detail as is reasonably neces- 
sary to enable the accused employee to prepare a defense thereto. 

Where it does not appear that the material facts alleged are within the 
personal knowledge of the complainant, the board may require the com- 
plainant to present supporting affidavits from persons having actual 
knowledge of the facts before acting upon the request. 

Once the board has approved a request to file charges, any alleged fail- 
ure to follow the procedure described above shall not invalidate subse- 
quent proceedings. 

NOTE: Authority: Section 18701, Government Code. Reference: Section 19583.5, 
Government Code. 

History 
1. Renumbering and amendment of former section 62 to section 51.9 tiled 
4-26-90; operative 5-26-90 (Register 90, No. 22). For prior history, see Regis- 
ter 85, No. 48. 

§ 52. Appeals Assigned to the Administrative Law Judge 
Evidentiary/Investigatory Hearing Processes. 

(a) The following shall be assigned to the full evidentiary hearing pro- 
cess: 

(1) Approved requests to file charges under Government Code section 
19583.5. 

(2) Appeal of adverse action pursuant to Government Code section 
19575 by an employee covered by the Ralph C. Dills Act (Ch. 10.3) 
(commencing with Section 3512) Div. 4 Title 1. 

(3) Appeal of an adverse action pursuant to Government Code section 
19575 or 19590 by an employee excluded from the Ralph C. Dills Act 
(Ch. 10.3) (commencing with Section 3512) Div. 4 Title 1, where the 
penalty imposed is greater than a suspension without pay for five days 
or a one-step reduction in pay for four months. 

(4) Appeal of rejection during probationary period; or 



(5) Any other appeal deemed appropriate by the executive officer, the 
board or its president. 

(b) The following shall be assigned to the Investigatory Hearing Pro- 
cess: 

Appeal of adverse action pursuant to Government Code section 19575 
or 19590 by an employee excluded from the Ralph C. Dills Act (Ch. 1 0.3) 
(commencing with Section 3512) Div. 4 Title 1, where the penalty im- 
posed is an official reprimand or other penalty equal to or less than a sus- 
pension without pay for five days or equal to or less than a one-step re- 
duction in pay for four months. 

(c) In any case, when a proceeding has been assigned to the administra- 
tive law Judge evidenfiary/investigatory hearing process, the administra- 
tive law judge is fully authorized and empowered to grant or refuse exten- 
sions of time, to set such proceedings for a full evidentiary hearing or 
invesUgatory hearing as provided herein, and to conduct a full evidenda- 
ry hearing or investigatory hearing in every such proceeding as provided 
herein. The administrative law judge is authorized to conduct a full evi- 
dentiary hearing in an appeal defined in subdivision (b) above upon mu- 
tual agreement of the parties or, upon motion by one of the parties, if the 
administrative law judge finds it in the interest of fairness to do so. The 
administrative law judge is also fully authorized and empowered to per- 
form any and all other acts in connection with such proceedings that may 
be authorized by law or these regulations. 

(d) The assignment of a case under the provisions of (a) and (b) shall 
not preclude the board froin recalling the proceedings for hearing by the 
board. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Sections 
18671, 18675, 19570, 19756 and 19582, Government Code. 

History 

1 . Renumbering and amendment of former section 52 to section 51.1, and renum- 
bering and amendment of former section 67 to section 52 filed 4-26-90; opera- 
tive 5-26-90 (Register 90, No. 22). For prior history, see Register 87, No. 48. 

2. Change without regulatory effect amending subsection (b) filed 9-16-92 pur- 
suant to section 100, title 1, California Code of Reculations (Register 92, No. 
39). 

3. Amendment of section heading, section and Note filed 8-19-97; operative 
8-19-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 
34). 

§ 52.1 . Exclusion of Witnesses. 

Upon the motion of any party, including the parties to an adverse ac- 
tion proceeding, the administrative law judge shall have the authority to 
exclude from the hearing room any witnesses not at the time under ex- 
amination; but a party to the proceeding, or the party's counsel or other 
person representing a party, shall not be excluded. When a state agency 
is a party it is entitled to the presence of one other officer or employee in 
addition to its counsel or representative. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Sections 
18675, Government Code. 

History 
1. Renumbering and amendment of former section 74 to section 52.1 filed 
4-26-90: operative 5-26-90 (Register 90, No. 22). For prior history, see Regis- 
ter 87, No. 48. 

§ 52.2. Dismissal of Appeals Not Brought to Hearing. 

Any appeal assigned to the hearing officer shall be dismissed unless 
it is brought to hearing within three years after such appeal was filed with 
the board except where the parties have filed a written stipulation specifi- 
cally extending said three-year period. 

NOTE: Reference: Section 18701, Government Code. Reference: Section 18675, 
Government Code. 

History 
1. Renumbering and amendment of former section 66 to section 52.2 filed 
4-26-90; operative 5-26-90 (Register 90, No. 22). For prior history, see Regis- 
ter 85, No. 48. 

§ 52.3. Right to Respond to Proposed Action. 

(a) At least five working days before the effective date of a proposed 
adverse action, rejection during the probationary period, or non-punitive 
terminafion, demotion, or transfer under Government Code section 
19585, the appointing power, as defined in Government Code Section 
18524, or an authorized representative of the appointing power shall give 
the employee written notice of the proposed action. At least 15 calendar 
days before the effective date of a medical termination, demotion, or 



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§52.4 



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transfer under Government Code section 19253.5 or an application for 
disability retirement filed pursuant to Government Code section 
19253. 5(i)(l), the appointing power or an authorized representative of 
the appointing power shall give the employee written notice of the pro- 
posed action. The notice shall include: 

(1) the reasons for such action, 

(2) a copy of the charges for adverse action, 

(3) a copy of all materials upon which the action is based. 

(4) notice of the employee's right to be represented in proceedings un- 
der this section, and 

(5) notice of the employee's right to respond to the person specified 
in subsection (b). 

(b) The person whom the employee is to respond to in subsection 
(a)(5) shall be above the organizational level of the employee's supervi- 
sor who initiated the action unless that person is the employee's appoint- 
ing power in which case the appointing power may respond to the em- 
ployee or designate another person to respond. 

(c) The procedure specified in this section shall apply only to the final 
notice of proposed action. 

NOTE: Authority cited: Sections 18701 and 19574, Government Code. Reference: 
Sections 19173, 19253.5, 19574, 19574.1 and 19585. Government Code, and 
Slcelly V. SPB (1975) 15 Cal.3d 194. 

History 

1. Renumbering and amendment of former section 61 to section 52.3 filed 
4-26-90: operative 5-26-90 (Reeister 90, No. 22). For prior history, see Regis- 
ter 85, No. 48. 

2. Amendment filed 3-J9-91 ; operative 4-18-91 (Register 91, No. 14). 

3. Change without regulatory effect amending subsection (a) filed 9-16-92 pur- 
suant to section 100, title 1, California Code of Regulations (Register 92, No. 
39). 

4. Amendment of subsection (a) and amendment of Note filed 6-1 9-2001 ; opera- 
tive 6-19-2001 pursuant to Government Code section 18214 (Register 2001, 
No. 25). 

§ 52.4. Expedited Hearings. 

Within ten days after filing an appeal from a dismissal, an appellant 
may file with the board and serve upon the respondent a written request 
that the hearing on the appeal be expedited for good cause. Appellant's 
request shall include documentary evidence and/or sworn declarations in 
support of the appellant's position. Within seven days after service of ap- 
pellant's request, respondent shall file its written response to that request 
and serve that response upon the appellant. Appellant's request may be 
granted if either the respondent concurs in the request or the administra- 
tive law judge determines that good cause exists. The administrative law 
judge may impose such orders for expedited discovery as the administra- 
tive law judge may deem necessary or appropriate. If appellant's request 
is granted, the matter will be set for hearing within 15 days. The adminis- 
trative law judge shall prepare the proposed decision within five working 
days of the hearing for submittal to the board at its next meeting. 
NOTE; Authority: Section 18701, Government Code. Reference: Sections 18670, 
18703, 19253.5, 19575, 19585 and 19590, Government Code. 

History 

1. New section filed 4-26-90; operative 5-26-90 (Register 90, No. 22). 

2. Amendment of section and Note filed 4-1-2003; operative 4-1-2003 pursuant 
to Government Code section 11 343.4 (Register 2003, No. 14). 

§ 52.5. Appeal Continuances. 

Continuances shall be granted only upon a showing of good cause or 
mutual agreement between the parties. When the acts or omissions that 
lead to an adverse action or rejection also lead to criminal charges being 
filed against the appellant, continuances shall be granted when the parties 
mutually concur to allow for completion of the criminal proceedings. 
NOTE: Authority: Section 18701, Government Code. Reference: Section 18671.1, 
Government Code. 

History 
1. New section filed 4-26-90; operative 5-26-90 (Register 90, No. 22). 

§ 52.6. fnvestigatory Hearing Process for Lesser Adverse 
Actions. 

(a) Failure of any party to proceed at the investigatory hearing shall be 
deemed a withdrawal of the action or appeal, unless the investigatory 
hearing is continued for good cause. 

(b) One hundred eighty (180) minutes will be calendared forthe inves- 
tigatory hearing. Each party will be allotted a total of ninety (90) minutes 



to be allocated at that party's discretion for presentation of its case, in- 
cluding examination and cross-examination of witnesses, presentation 
of declarations, documentary evidence, and exhibits, and presentation of 
arguments. While use of the time allotted is at each party's discretion, the 
suggested format for the hearing is as follows: 5 minutes each for opening 
statements, 60 minutes each to call witnesses and present declarations, 
documentary evidence and exhibits, 1 5 minutes each for cross-examina- 
tion of the opposing party's witnesses, and 10 minutes each for closing 
arguments. 

(c) The administrative law judge has discretion to ask clarifying ques- 
tions of the witnesses or the parties at the conclusion of each party's case- 
in-chief and has sole discretion to extend additional time to each of the 
parfies. 

(d) The administrative law judge is not bound by common law/statuto- 
ry rules of evidence or by technical or formal rules of procedure, except 
as set forth herein, but shall conduct the investigatory hearing in such a 
manner as necessary to reach a just and proper decision. Relevant evi- 
dence will be admitted if it is the sort of evidence on which responsible 
persons are accustomed to rely in the conduct of serious affairs. 

(e) Declarations/affidavits made under penalty of perjury will be ad- 
missible even though they are technically hearsay, and may be relied 
upon by the ad inini strati ve law judge to make a finding of fact. 

Other hearsay is admissible, but cannot be relied upon by the autho- 
rized representative to make a finding of fact unless it would be admissi- 
ble over objection in a civil proceeding or unless corroborated either by 
witness testimony and/or a declarafion or affidavit made under penalty 
of perjury. The foundation for admitting the declarations/affidavits or 
other written hearsay may be laid in a declaration/affidavit. 

(f) The administrative law judge shall prepare a short-form proposed 
decision which would be forwarded to the Board within 15 calendar days 
of the investigatory hearing. The decision will include enough informa- 
tion to allow the Board to exercise its constitufional authority to review 
disciplinary actions, such as (a) introduction; (b) factual allegations sus- 
tained and not sustained, referring to the Notice of Adverse Action; (c) 
legal causes and not sustained referring to the Nofice of Adverse Action 
and any other applicable legal authority; (d) penalty including brief refer- 
ences to any applicable legal authority; and (e) any finding of fact that the 
authorized representative decides is necessary to highlight. 

(g) Absent Board rejection of proposed decision, each case would be 
opened and closed in no more than ninety (90) calendar days. 

(h) It is the intent of the Board that any finding of fact or law, judgment, 
conclusion, or final order made by an administrative law judge, pursuant 
to this process shall not be conclusive or binding in any separate or subse- 
quent action or proceeding, and shall not be used as evidence in any sepa- 
rate or subsequent action or proceeding, between an individual and his 
or per present or prior employer brought before an arbitrator, court or 
judge of this state or the United States, regardless of whether the prior ac- 
tion was between the same or related parties or involved the same facts. 
Any decision rendered pursuant to subdivision (f) above may be cited for 
purposes of providing progressive discipline. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Sections 
19570 and 19756, Government Code. 

History 
1. New section filed 8-19-97; operative 8-19-97 pursuant to Government Code 
section 11343.4(d) (Register 97, No. 34). 

§ 53. Appeals Assigned to General Merit System Appeals 
Process. 

(a) Unless otherwise specified in these regulations all appeals ac- 
cepted by the appeals division that are not assigned to the hearing office 
as specified in Section 52 shall be reviewed and acted upon in accordance 
with the provisions of this article. This includes appeals such as those per- 
taining to discrimination complaints, examination results, application re- 
jections hinderance of use of the appeal process, certification withholds, 
medical rejections and restrictions, departmental denials of requests for 
reasonable accommodation of personal disabilities, the designation of 
managerial positions pursuant to Government Code section 3513, merit 
issue complaints, cancellations of unlawful civil service appointments, 
interference with promotional opportunity and the use of out-of-class 
experience to meet minimum qualifications. 



• 



• 



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Title 2 



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§56.1 



• 



• 



• 



(b) Under the General Merit System Process, the executive officer 
shall either (J) present recommended decisions to the board or (2) make 
decisions subject to appeal to the board. 

NOTE: Authority. Section 18701, Government Code. Reference; Section 18675, 
Government Code. 

History 

1 . Renumbering and amendment of former section 53 to sections 51.1 and 53 filed 
4-26-90; operative 5-26-90 (Reaister 90, No. 22). For prior history, see Regis- 
ter 87, No. 48. 

2. Change without regulatory effect amending subsection (a) filed 9-16-92 pur- 
suant to section 100, title 1, California Code of Resulations (Register 92, No. 
39). 

§ 53.1. Merit Issue Complaints. 

(a) Merit issue complaints are complaints that the State Civil Service 
Act or board regulation or policy has been violated by a state agency. 
Merit issue complaints do not include appeals of actions that are specifi- 
cally provided for elsewhere in law or in board regulations. Each state 
agency shall establish and publicize to its employees its process for ad- 
dressing merit issue complaints. That process shall include provisions for 
informing employees of their right to appeal the state agency's decision 
on the merit issue complaint to the board. Failure of a state agency to re- 
spond to a merit issue complaint within 90 days of the date of complaint 
shall be deemed a denial of the complaint authority and shall release the 
appellant to file an appeal directly with the board. An appeal of a merit 
issue complaint shall be filed within 30 days of the state agency's denial 
of the complaint. 

NOTE: Authority: Section 18701, Government Code. Reference: Section 12940, 
18675, 18952, 19701, 19702, 19230, 19231, Government Code. 

History 

1. New section filed 4-26-90; operative 5-26-90 (Register 90, No. 22). 

2. Change without regulatory effect amending subsection (a) filed 9-16-92 pur- 
suant to section 100, title 1, California Code of Regulations (Register 92, No. 
39). 

§ 53.2. Reasonable Accommodation Appeals. 

Requests for reasonable accommodation are requests from qualified 
disabled individuals for accommodation to known physical or mental 
limitations. These requests may be made concerning securing, retaining 
or advancing in employment in State service. Appointing authorities 
shall respond to such requests within 20 days of receipt. Appointing au- 
thorities shall respond in writing and inform complainants of their right 
of appeal to the board, within 30 days of receipt of the department's re- 
sponse. Failure to respond to a request within 20 days shall be deemed 
a denial of the request by the appointing authority and shall release the 
complainant to file an appeal directly with the board. Such filing shall be 
done within 30 days of the exhaustion of the 20-day period. 
NOTE: Authority: Section 18701, Government Code. Reference: Section 12940, 
18675, 18952, 19701, 19702, 19230, 19231, Government Code. 

History 
1 . New section filed 4-26-90; operative 5-26-90 (Register 90, No. 22). 

§ 54. Discrimination Complaint Process. 

Any person who believes that he or she has been discriminated against 
in state employment in violation of part II, chapter 10, article 2 of the 
Government Code, the Federal Age Discrimination in Employment Act 
of 1978, or Governor's Executive Order B-54— 79, shall have the oppor- 
tunity to file a complaint with the board. Complaints filed with the board 
shall follow the provisions of article 4 and the specific provisions of Sec- 
tions 54.1 and 54.2. All issues arising under these regulations, if not re- 
solved under the process prescribed hereunder or by Sections 53.1 or 
53.2, shall be decided by the board, if the complainant so requests. 
NOTE: Authority: Section 18701, Government Code. Reference: Section 19700, 
19701, 19702, 19702.1, 19702.2, 19702.5, 19703, 19704 and 19705, Government 
Code. 

History 

1. Repealer and section filed 4-26-90; operative 5-26-90 (Register 90, No. 22). 
For prior history, see Register 87, No. 48. 

2. Change without regulatory effect amending section filed 9-16-92 pursuant to 
section 100, title 1, California Code of Regulations (Register 92, No. 39). 



§ 54.2. Discrimination Complaint Standards for Appointing 
Powers. 

Each appointing power discrimination complaint review shall: 

(a) Provide for satisfying thecoinplaint with a minimum of formal pro- 
cedural requirements, by an organizational level closest to the employee 
concerned. Such provisions shall include the opportunity for the em- 
ployee to receive counseling on a confidential basis by an employee who 
is qualified to give counseling in matters pertaining to discrimination. 

(b) Assure that no influence will be used to dissuade the employee 
from airing a complaint, that no complaint will be suppressed, nor will 
an employee be subject to reprisal for voicing a complaint or participat- 
ing in the complaint procedure. 

(c) Assure that the employee's complaint will receive preferred, time- 
ly and full consideration at each level of review, that investigation into 
the circumstances surrounding the complaint will be perforined by quali- 
fied and impartial persons, and that the employee will be informed of all 
rights at each step of the process, including the right of appeal to the board 
or to file with the appropriate state or federal agency or court having juris- 
diction. 

Note: Authority: Section 18701, Government Code. Reference: Section 18675, 

Government Code. 

History 

1. Renumbering and amendment of former section 547.2 to secfion 54.2 filed 
4-26-90; operative 5-26-90 (Register 90. No. 22). For prior history, see Regis- 
ter 86, No. 28. 

§ 55. Hearing Officer. 

History 
1. Repealer filed 4-26-90; operative 5-26-90 (Register 90, No. 22). 

§ 56. Whistleblower Retaliation Complaint Process. 

(a) Any state employee or applicant for state employment, or any em- 
ployee or applicant for employinent with a California Community Col- 
lege, who believes that he or she has been retaliated against in employ- 
ment for having reported improper governmental activity, as that phrase 
is defined in Government Code Section 8547.2(b), or Education Code 
Secfion 87162(c), or for having refused to obey an illegal order or direc- 
five, as defined in Government Code Secfion 8547.2(e), or Educafion 
Code Section 87 162(b), may file a complaint and/or appeal with the State 
Personnel Board in accordance with the provisions set forth in Sections 
56.1-56.8. For purposes of complaints filed by community college em- 
ployees or applicants for community college employment, the local com- 
munity college district shall be deemed the "appoinfing power." 

(b) For purposes of Secfions 56-56.8, the term "Board" is defined as 
the five-member State Personnel Board, as appointed by the Governor. 
The term "Execufive Officer" is defined as the Executive Officer of the 
State Personnel Board, as appointed by the Board. The State Personnel 
Board shall hereinafter be referred to as the SPB. 

NOTE: Authority cited: Sections 18701 and 18214, Government Code. Reference: 
Sections 87162 and 87164, Education Code; and Sections 8547.2, 8547.8 and 
19683, Government Code. 

History 

1. New section filed 8-14-2002; operative 8-14-2002 pursuant to Government 
Code section 18214 (Register 2002, No. 33). For prior history see Register 90, 
No. 22. 

2. Amendment of section and NOTE filed 3-8-2006; operative 3-8-2006. Exempt 
from the Administradve Procedure Act pursuant to section 1821 1 of the Gov- 
ernment Code and submitted to the Office of Administrative Law for filing with 
the Secretary of State and publication in the California Code of Regulations pur- 
suant to section 18214 of the Government Code (Register 2006, No. 10). 

§ 56.1 . Requirements for Filing Whistleblower Retaliation 
Complaint with the State Personnel Board. 

An individual desiring to file a complaint of retaliation with the SPB 
must adhere to the following requirements: 

(a) Prior to filing his or her complaint with the SPB, the complainant 
shall comply with all other filing requirements, if applicable, set forth in 
Government Code Secfion 19683. 

(b) The complaint shall be filed with and received by the SPB within 
one year of the most recent alleged act of reprisal. The complaining party 
shall submit an original complaint and copy of all attachments, and 



Page? 



Register 2006, No. 10; 3-10-2006 



§56.2 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



enough copies of the complaint and attachments for the SPB to serve each 
entity and person alleged to have engaged in retaliatory conduct and 
against whom damages and/or disciplinary action is sought. 

(c) All complaints shall be in writing. 

(d) Each complaint shall clearly identify the protected activity en- 
gaged in by the complainant, the specillc act(s) of reprisal or retaliation 
alleged to have occurred, and the names and business address of the indi- 
vidual(s) and entities alleged to have committed the retaliatory act(s). 
Each complaint shall specify the relief and/or remedies sought against 
each entity or individual, including any compensatory damages sought. 

(e) If adverse action is sought against any individually named respon- 
dent, pursuant to the provisions of Government Code Section 19574, the 
complaint must clearly state the facts constituting the cause or causes for 
adverse action in such detail as is reasonably necessary to enable the ac- 
cused employee to prepare a defense thereto. 

(f) Each complaint shall include a sworn statement, under penalty of 
perjury, that the contents of the written complaint are true and correct. 

(g) Each complaint shall be limited to a maximum of 15 pages of 
double-spaced typed or printed text, not including exhibits. Additional 
pages may be allowed upon a showing of good cause. The complainant 
shall submit a separate document with the complaint stating the reasons 
for good cause. 

(h) The above procedures do not apply in those cases where an appel- 
lant raises retaliation as an affirmative defense when appealing a notice 
of adverse action, pursuant to Government Code Sections 19575 or 
19590, when appealing a notice of rejection during probation, pursuant 
to Government Code Section 19175, when appealing a notice of medical 
action, pursuant to Government Code Section 1 9253.5, when appealing 
a notice of non-punitive action, pursuant to Government Code Section 
19585, or when appealing a notice of career executive assignment ter- 
mination pursuant to Government Code Section 19889.2. Neither the 
remedies nor the relief available to a complaining party pursuant to the 
provisions of Government Code Sections 8547.8 or 19683, shall, howev- 
er, be available to a party who raises whistleblower retaliation as either 
an affirmative defense or as a separate cause of action in any other SPB 
hearing, unless that party has first complied with all filing requirements 
set forth in Section 56.1. 

NOTE: Authority cited: Sections 1 8701 and 1 82 1 4, Government Code. Reference: 
Section 87164, Education Code; Sections 8547.3, 8547.8, 18670, 18671, 18675, 
19175, 19253.5, 19572, 19583.5, 19585, 19683 and 19889.2, Government Code; 
and Section 6129, Penal Code. 

History 

1. New section filed 8-14-2002; operative 8-14-2002 pursuant to Government 
Code section 18214 (Register 2002, No. 33). 

2. Amendment of section heading, section and Note filed 3-8-2006; operative 
3-8-2006. Exempt from the Administrative Procedure Act pursuant to section 
18211 of the Government Code and submitted to the Office of Administrative 
Law for filing with the Secretary of State and publication in the California Code 
of Regulations pursuant to section 18214 of the Government Code (Register 
2006, No. 10). 

§ 56.2. Acceptance of Whistleblower Complaint. 

(a) Within 10 working days of receipt of the complaint, the SPB shall 
determine whether it has jurisdiction over the complaint and whether the 
complainant meets the filing requirements set forth in Section 56.1. The 
SPB shall also determine whether the complainant has complied with all 
other requirements for filing a retaliation complaint, as set forth in Gov- 
ernment Code Sections 8547-8547. 1 2 and 1 9683 and/or Education Code 
Sections 87160-87164. 

(b) If the SPB determines that the complaint does not meet all filing 
requirements, it shall notify the complaining party in writing that the 
complaint has not been accepted and the reason(s) for that determination. 
The complaining party may thereafter be permitted to file an amended 
complaint within 10 working days of service of the notice of non-accep- 
tance of the complaint. 

(c) Unless time is extended by the complaining party in writing, the 
Executive Officer shall, within 10 working days of receipt of the com- 
plaint or amended complaint, nofify the complaining party of a decision 
to either: 



(1 ) dismiss the complaint for failure to meet jurisdictional or filing re- 
quirements; or 

(2) refer the case for investigation in accordance with the provisions 
of Section 56.3; or 

(3) schedule the case for an informal hearing before an administrative 
law judge, in accordance with the provisions of Section 56.4. 

(d) In accordance with the provisions of Penal Code Section 61 29, the 
SPB shall be entitled to defer review of a complaint filed by an employee 
of the Department of Corrections and Rehabilitation in those cases where 
the employee has filed a similar complaint with the Office of the Inspec- 
tor General. 

NOTE: Authority cited: Sections 18701 and 182 14, Government Code. Reference: 
Sections 87160-87164, Education Code; Sections 8547-8547.2. 8547.8, 18670. 
18671, 18675. 19572, 19574, 19575. 19683 and 19590, Government Code: and 
Secnon 6129, Penal Code. 

History 

1. New section filed 8-14-2002; operative 8-14-2002 pursuant to Government 
Code section 18214 (Register 2002, No. 33). 

2. Amendment of section heading, section and Note filed 3-8-2006; operative 
3-8-2006. Exempt from the Administrative Procedure Act pursuant to section 
1821 1 of the Government Code and submitted to the Office of Administrative 
Law for filing with the Secretary of State and publication in the California Code 
of Regulations pursuant to section 18214 of the Government Code (Register 
2006, No. 10). 

§ 56.3. Cases Referred to Investigation. 

(a) If the Executive Officer assigns a complaint for investigation, the 
Execufive Officer or the assigned invesugator(s) shall conduct the inves- 
tigation in the manner and to the degree they deem appropriate, and shall 
have full authority to quesfion witnesses, inspect documents, and visit 
state facilities in furtherance of their investigations. All state agencies 
and employees shall cooperate fully with the investigators, or be subject 
to disciplinary action for impeding the investigation. The investigators, 
pursuant to the provisions of Government Code Section 18671, shall 
have authority to administer oaths, subpoena and require the attendance 
of witnesses and the production of books or papers, and cause the deposi- 
tions of witnesses residing within or without the state to be taken in the 
manner prescribed by law for hke depositions in civil cases in the superi- 
or court of this state under Article 3 (commencing with Section 2016) of 
Chapter 3 of Title 4 of Part 4 of the Code of Civil Procedure, in order to 
ensure a fair and expeditious investigafion. 

(b) The Executive Officer shall issue findings regarding the allega- 
tions contained in the complaint and a recommended remedy, if any, 
based on the investigation, in accordance with the provisions of Section 
56.5. 

NOTE: Authority cited: Secfions 18701 and 18214, Government Code. Reference: 
Section 87164, Educafion Code; Sections 8547.8, 18670, 18671, 18675, 19582, 
19583.5 and 19683, Government Code; Section 6129, Penal Code; and Section 
2016 et seq., Civil Procedure Code. 

History 

1. New secnon filed 8-14-2002: operative 8-14-2002 pursuant to Government 
Code section 18214 (Register 2002, No. 33). 

2. Amendment of section heading, repealer and new section and amendment of 
Note filed 3-8-2006; operative 3-8-2006. Exempt from the Administrative 
Procedure Act pursuant to section 18211 of the Government Code and sub- 
mitted to the Office of Administrative Law for filing with the Secretary of State 
and publication in the California Code of Regulations pursuant to secfion 1 8214 
of the Government Code (Register 2006, No. 10). 

§ 56.4. Cases Referred to Informal Hearing Before an ALJ. 

(a) For those complaints assigned to an informal hearing before an ad- 
ministrative law judge, the SPB shall serve notice of the informal hearing 
on all parties to the complaint a minimum of 30 calendar days prior to the 
scheduled hearing date. Service on each respondent shall be made at the 
respondent's business address. The nofice shall: 

(1) include a complete copy of the complaint with all attachments, and 
a copy of the statutes and rules governing the informal hearing; and 

(2) require each named respondent to serve on the complainant and file 
with the SPB, at least 10 calendar days prior to the informal hearing, a 
written response to the complaint, signed under penalty of perjury, spe- 
cifically addressing the allegations contained in the complaint. 



Pages 



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Title 2 



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§56.6 



• 



(b) The informal hearing shall be conducted in conformance with 
those procedures set forth in Government Code Section \1445.\0 et seq., 
and may in the discretion of the administrative law judge, include such 
supplemental proceedings as ordered by the administrative law judge, 
and as permitted by Section 1 1445.10 et seq., to ensure that the case is 
heard in a fair and expeditious manner. The administrative law judge 
shall have full authority to question witnesses, inspect documents, visit 
state facilities in furtherance of the hearing, and otherwise conduct the 
hearing in the manner and to the degree he or she deems appropriate. The 
informal hearing and any supplemental proceedings shall be recorded by 
the administrative law judge. All parties shall, upon request and payment 
of applicable reproduction costs, be provided with a transcript or a copy 
of the recording of the informal hearing. 

(c) Following the informal hearing and any supplemental proceedings, 
the administrative law judge shall issue findings for consideration by the 
Executive Officer regarding the allegations contained in the complaint, 
together with all recommended relief, if any, proposed to remedy any 
retaliatory conduct. 

(d) The Executive Officer shall have the discretion to adopt the admin- 
istrative law judge's findings and recommended remedies in their entire- 
ty; modify the administrative law judge's findings and recommended 
remedies; or reject the administrative law judge's findings and recom- 
mended remedies, and: 

( 1 ) issue independent findings after reviewing the complete record; or 

(2) remand the case back to the administrative law judge for further 
proceedings. 

NOTE; Authority cited: Sections 18701 and 18214, Government Code. Reference: 
Section 87164,Education Code; Sections 8547.8, I1445,10eae^., 11513, 18670, 
18671, 18672, 18675, 19572, 19574, 19575. 19582, 19590, 19592 and 19683, 
Government Code; and Section 6129, Penal Code. 

History 

1. New section filed 8-14-2002; operative 8-14-2002 pursuant to Government 
Code section 18214 (Register 2002, No. 33). 

2. Amendment of section heading, repealer and new section and amendment of 
Note filed 3-8-2006; operative 3-8-2006. Exempt from the Administrative 
Procedure Act pursuant to section 1821 1 of the Government Code and sub- 
mitted to the Office of Administrative Law for filing with the Secretary of State 
and publication in the California Code of Regulations pursuant to section 18214 
of the Government Code (Register 2006, No. 10). 

§ 56.5. Findings of the Executive Officer. 

(a) The Executive Officer shall issue a Notice of Findings within 60 
working days of the date the SPB accepts the complaint pursuant to Sec- 
tion 56.2(c), unless the complaining party agrees, in writing, to extend the 
period for issuing the findings, or unless the time period is otherwise 
tolled. 

(b) In those cases where the Executive Officer concludes that the al- 
legations of retaliation were not proven by a preponderance of the evi- 
dence, the Executive Officer shall issue a Notice of Findings dismissing 
the complaint. The Notice of Findings shall notify the complainant that 
his or her administrative remedies have been exhausted and that the com- 
plainant may file a civil complaint with the superior court pursuant to 
Government Code Section 8547.8(c). 

(c) In those cases where the Executive Officer concludes that the com- 
plainant proved one or more of the allegations of retaliation by a prepon- 
derance of the evidence, the Notice of Findings shall identify the allega- 
tions deemed substantiated, and the named respondents deemed to have 
engaged in retaliatory acts toward the complainant. If the Notice of Find- 
ings concludes that any individual manager, supervisor, or other em- 
ployee engaged in improper retaliatory acts, the Notice of Findings shall 
include the legal causes for disciplinary action under Government Code 
Section 19572 and the appropriate disciplinary action to be taken against 
any individual found to have engaged in retaliatory conduct. 

(d) The Notice of Findings shall inform any respondent found to have 
engaged in retaliatory acts of his or her right to request a hearing regard- 
ing the Notice of Findings. Any such request shall be filed with the SPB, 
and served on all other parties within 30 calendar days of the issuance of 
the Notice of Findings. Upon receipt of a timely request for hearing, the 



Board shall, at its discretion, schedule a hearing before the Board, or an 
evidentiary hearing before an administrative law judge, regarding the 
findings of the Executive Officer. Tlie hearing shall be conducted in ac- 
cordance with the SPB' s rules governing the conduct of evidentiary hear- 
ings. If a timely request for hearing is not filed with the SPB, the Notice 
of Findings shall be deemed the Board's final decision in the case. 
NOTE: Authority cited: Sections 1 8701 and 1 8214, Government Code. Reference: 
Section 87 1 64, Education Code; Sections 8547.8, 1 8670, 1 867 1 . 1 , 1 8675, 1 9572, 
19574, 19575, 19582, 1 9590 and 19683, Govemmeni Code; and Section 61 29, Pe- 
nal Code. 

History 

1. New section filed 8-14-2002; operative 8-14-2002 pursuant to Government 
Code section 18214 (Register 2002, No. 33). 

2. Amendment of section heading, repealer and new section and amendment of 
Notp: filed 3-8-2006; operative 3-8-2006. Exempt from ihe Administrative 
Procedure Act pursuant to section 1821 1 of the Government Code and sub- 
mitted to the Office of Administrative Law for filing with the Secretary of State 
and publication in the California Code of Regulations pursuant to section 1 8214 
of the Government Code (Register 2006, No. 10). 

§ 56.6. Disciplinary Action for Proven Retaliatory Acts. 

(a) In those cases where the Board issues a final decision that finds that 
a manager, supervisor, or other state civil service employee has engaged 
in improper retaliatory acts, the Board shall order the appointing author- 
ity to place a copy of the Board's decision in that individual's Official 
Personnel File within 30 calendar days of the issuance of the Board's or- 
der and to also, within that same time period, notify the Office of the State 
Controller of the disciplinary acfion taken against the individual. The ap- 
pointing authority shall also, within 40 calendar days of the issuance of 
the Board's order, notify the Board that it has complied with the provi- 
sions of this subdivision. 

(1) In accordance with the provisions of Penal Code Section 6129, 
subsecfion (c)(3), any employee of the Department of Corrections and 
RehabilitaUon found to have engaged in retaliatory acts shall be disci- 
plined by, at a minimum, a suspension without pay for 30 calendar days, 
unless the Board determines that a lesser penalty is warranted. In those 
instances where the Board determines that a lesser penalty is warranted, 
the decision shall specify the reasons for that determination. 

(b) In those cases where the Board issues a final decision that finds that 
any community college administrator, supervisor, or public school em- 
ployer, has engaged in improper retaliatory acts, the Board shall order the 
appointing authority to place a copy of the Board's decision in that indi- 
vidual's Official Personnel File within 30 calendar days of the issuance 
of the Board's order and to also, within 40 calendar days of the issuance 
of the Board's order, nofify the Board that it has complied with the provi- 
sions of this subdivision. 

(c) Any decision, as described in subdivision (a) or (b), shall be 
deemed a final decision of the Board and the individual against whom the 
disciplinary acfion was taken shall not have any further right of appeal 
to the Board concerning that acfion, with the exception of a Pefifion for 
Rehearing. 

(d) For purposes of this Secfion, the Board's decision is deemed to be 
final after: 

(1 ) a request for hearing pursuant to Secfion 56.5(d) has not been fime- 
ly filed with the Board; or 

(2) 30 calendar days has elapsed from the date that the Board has is- 
sued a decision adopting or modifying the proposed decision submitted 
by an administrafive law judge after an evidenfiary hearing and a Petifion 
for Rehearing concerning that decision has not been filed with the Board; 
or 

(3) a decision has been issued by the Board after a hearing before that 
body and no Pefifion for Rehearing concerning that decision has been 
filed with the Board. 

NOTE: Authority cited: Sections 1 8701 and 18214, Government Code. Reference: 
Section 87164, Education Code; Sections 8547.8, 18670, 18671, 18675, 18710, 
19572, 19574, 19582, 19583.5, 19590, 19592 and 19683, Government Code; and 
Section 6129, Penal Code. 

History 
1. New section filed 8-14-2002; operafive 8-14-2002 pursuant to Government 
Code section 18214 (Register 2002, No. 33). 



Page 8.1 



Register 2006, No. 10; 3-10-2006 



§56.7 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



2. Amendment of section and Note filed 3-8-2006; operative 3-8-2006. Exempt 
from the Administrative Procedure Act pursuant to section 1821 1 of the Gov- 
ernment Code and submitted to the Office of Administrative Law for filing with 
the Secretai'y of State and publication in the Cali fornia Code of Regulations pur- 
suant to section 18214 of the Government Code (Register 2006/No. 10). 

§ 56.7. Consolidation with Other Hearings. 

(a) The SPB or the assigned administrative law judge shall possess the 
requisite discretion to direct that separate, reasonably related cases be 
consolidated into a single hearing. Whenever two or more cases are con- 
solidated, the assigned administrative law judge shall permit the parties 
a reasonable opportunity to conduct discovery prior to the first scheduled 
hearing date, if the discovery provisions set forth in Section 57 et seq. are 
negatively impacted by the consolidation. 

(b) In those cases where one or more individually named respondents 
have been joined in the consolidated hearing, the administrative law 
judge may, in his or her discretion, make such orders as may appear just 
in order to prevent any named respondent from being embarrassed, 
delayed, or put to undue expense, and may order separate hearings or 
make such other order as the interests of justice may require. 

(c) In those cases where an appeal from adverse action, rejection dur- 
ing probationary period, medical action, or non-punitive action is con- 
solidated with a whistleblower retaliation complaint, and the whistle- 
blower retaliation complaint identifies specifically named individuals 
against whom damages or adverse action is sought pursuant to the provi- 
sions of Section 56.1(d) and (e), each individually named respondent 
shall have the right to participate in the consohdated hearing in such a 
manner as to reasonably defend him or herself against the allegations 
contained in the whistleblower retaliation complaint. These rights shall 
include, but not be limited to: 

(1) to be represented by a representative of his or her own choosing 
during the consolidated hearing; 

(2) to present a defense on his or her own behalf concerning the allega- 
tions and issues raised in the whistleblower retaliation complaint, sepa- 
rate and apart from any defense presented by the appointing power or any 
other named respondent; 

(3) to conduct pre-hearing discovery concerning allegations and is- 
sues raised in the whistleblower retaliation complaint; 

(4) to examine and cross examine witnesses concerning allegations 
and issues raised in the whistleblower retaliation complaint; 

(5) to introduce and challenge the introduction of evidence concerning 
allegations and issues raised in the whistleblower retaliation complaint; 
and 

(6) to present oral and/or written argument to the decision-maker con- 
cerning allegations and issues raised in the whistleblower retaliation 
complaint. 

NOTE; Authority cited: Sections 18701 and 182 14, Government Code. Reference: 
Sections 8547.8, 11513, 18670, 18671, 18672, 18675, 19175, 19253.5, 19575, 
19582, 19585, 19590 and 19683, Government Code. 

HtSTORY 

1. New section filed 8-14-2002; operative 8-14-2002 pursuant to Government 
Code section 18214 (Register 2002, No. 33). 

2. Amendment of section and NOTE filed 3-8-2006; operative 3-8-2006. Exempt 
from the Administrative Procedure Act pursuant to section 18211 of the Gov- 
ernment Code and submitted to the Office of Administrative Law for filing with 
the Secretary of State and publication in the California Code of Regulations pur- 
suant to section 18214 of the Government Code (Register 2006, No. 10). 

§ 56.8. Evidentiary Hearing Procedures and 

Representation by the Executive Officer. 

(a) The heating conducted pursuant to Section 56.5(d), shall be con- 
ducted in accordance with the SPB's rules of practice and procedure for 
the conduct of hearings before the Board, or evidentiary hearings before 
an administrative law judge. Any proposed decision issued by an admin- 
istrative law judge after an evidentiary hearing shall be subject to review 
by the Board. 

(b) The administrative law judge assigned to conduct the evidentiary 
hearing shall not be the same administrative law judge who conducted the 
informal investigative hearing in the case, unless all parties to the action 



request, in writing, that the same administrative law judge be assigned to 
conduct the evidentiary hearing. 

(c) The discovery procedures set forth in Section 57 et seq., shall be 
applicable to those evidentiary hearings conducted pursuant to this Sec- 
tion. 

(d) The Executive Officer, or his or her designee, shall have the author- 
ity, in his or her discretion, to prosecute the complaint and present evi- 
dence regarding his or her findings during a hearing before the Board, 
and/or during an evidentiary hearing before an administrative law judge. 
The Executive Officer, or his or her designee, shall have the discretion 
to present the case in the manner he or she deems to be appropriate, in- 
cluding, but not limited to, the issues to be presented, the evidence to be 
presented, and the witnesses, if any, to be questioned. 

(1) The complaining party shall be permitted to be represented by a 
representative of his or her own choosing during any hearing before ei- 
ther the Board, and/or an administrative law judge, and shall be permitted 
to raise relevant issues, present relevant evidence, and question witnesses 
regarding relevant matters during those hearings where witness testimo- 
ny is permitted. 

(2) In those cases where the Executive Officer, or his or her designee 
prosecutes a case during an evidentiary hearing before an administrative 
law judge, the case shall be assigned to an administrative law judge from 
the Office of Administrative Hearings. 

NOTE: Authority cited: Sections 18701 and 18214, Government Code. Reference: 
Section 87164, Education Code; Sections 8547.8. 18670, 18671, 18675, 19572, 
19574, 19575, 19590 and 19683, Government Code; and Section 6129, Penal 
Code. 

History 

1. New section filed 8-14-2002; operative 8-14-2002 pursuant to Government 
Code section 18214 (Register 2002, No. 33). 

2. Repealer and new section filed 3-8-2006; operative 3-8-2006. Exempt from 
the Administrative Procedure Act pursuant to section 1821 1 of the Government 
Code and submitted to the Office of Administrative Law for filing with the Sec- 
retary of State and publication in the California Code of Regulations pursuant 
to section 18214 of the Government Code (Register 2006, No. 10). 

§ 57.1 . Discovery in Evidentiary Hearings Before the Board 
or a Board Administrative Law Judge. 

(a) An employee who is served with a Notice of Adverse Action pur- 
suant to the provisions of Government Code Sections 19574 or 19590 
shall be entitled to conduct discovery in accordance with the provisions 
of Government Code Sections 19574.1 and 19574.2. In those cases 
where an employee raises an affirmative defense alleging discrimination 
or retahation when filing an answer to a Notice of Adverse Action pur- 
suant to the provisions of Government Code Sections 19575 or 19590, 
or in those cases where an employee raises an affirmative defense of 
retaliation or discrimination during the course of a hearing before the 
Board or an administrative law judge regarding an appeal from adverse 
action, the appointing power or any other named respondent shall be en- 
titled to conduct discovery regarding any such affirmative defense in ac- 
cordance with the provisions of Sections 57.2-57.4. 

(b) Any party to any other type of action scheduled for hearing before 
the Board and/or a Board administrative law judge, including but not lim- 
ited to, rejections during probationary period (Government Code Section 
19173), discrimination complaints (Government Code Section 19702), 
appeals from denial of reasonable accommodation (Government Code 
Section 19702), whistleblower retaliation complaints (Education Code 
Section 87164, Government Code Sections 8547.8 and 19683), appeals 
from non-punitive action (Government Code Section 19585), appeals 
from medical action (Government Code Section 19253.5), appeals from 
Career Executive Assignment termination (Government Code Section 
19889.2), and appeals from constructive medical termination, shall be 
entitled to conduct discovery in accordance with the provisions of Sec- 
tions 57.2-57.4. 

(c) The discovery provisions set forth in Sections 57.2-57.4 shall not 
apply to those cases scheduled for hearing or review by the Executive Of- 
ficer or a Board hearing officer, to informal hearings conducted by Board 
administrative law judges pursuant to Government Code Section 
11445.10 et seq., to those cases assigned to hearing before a Board ad- 



Page 8.2 



Register 2006, No. 10; 3-10-2006 



Title 2 



State Personnel Board 



§57.3 



• 



ministrative law judge pursuant to the provisions of Section 52(b), to ap- 
peals from termination of Limited Term employees pursuant to Section 
282. to appeals from termination of a Limited Examination and Appoint- 
ment Program appointment pursuant to Section 547.57, or to any other 
appeal or complaint excluded from the formal evidentiary hearing pro- 
cess pursuant to statute or regulation. 

(d) The time frames for service of process set forth in Sections 
57.2-57.4 shall apply in those circumstances were service is made or at- 
tempted by mail, and service shall not be deemed effective on the date 
of mailing. Instead, service by mail shall be deemed effective only upon 
such time as the document being served is either actually received by the 
person or entity being served, oris legally presumed to have been deliv- 
ered pursuant to the provisions of Code of Civil Procedure Section 1013, 
whichever date occurs first. 

Note. Authority cited: Sections 18701 and 18214. Government Code. Reference: 
Section 87 164. Education Code; Sections 8547.8, 11445. lOc/.ve^., 18670,18671, 
18672, 18672.1, 18673, 18675, 19173, 19175, 19253.5, 19574, 19574.1, 19574.2, 
19575, 19585, 19590, 19683, 19700-19706 and 19889.2, Government Code; and 
Section 1013, Code of Civil Procedure. 

History 

1. New section filed 8-12-2002; operative 8-12-2002. Submitted to OAL for 
printing only pursuant to Government Code section 18214 (Register 2002, No. 
33). 

2. Change without regulatory effect amending section filed 1 1-26-2002 pursuant 
to section 100, title 1 , California Code of Regulations (Register 2002, No. 48). 

3. Amendment of section heading, repealer and new section and amendment of 
Note filed 2-28-2006; operative 2-28-2006. Exempt from the Administrative 
Procedure Act pursuant to section 1821 1 of the Government Code and sub- 
mitted to the Office of Administrative Law for filing with the Secretaiy of Slate 
and publication in the California Code of Reguladons pursuant to section 1 8214 
of the Government Code (Register 2006, No. 9). 



§ 57.2. Request for Discovery; Statements; Writings; 
Investigative Reports; Witness List. 

(a) Each party to an appeal or complaint listed in Section 57. 1 (a) or (b) 
and scheduled for a hearing is entitled to serve a request for discovery on 
any other named party to the complaint or appeal as allowed by subdivi- 
sions (c)-(e), and Government Code Section 1 8673. All requests for dis- 
covery shall be served on the responding party no later than 40 calendar 
days prior to the initial hearing date, except upon a petition and showing 
of good cause by the party seeking discovery, and a finding by the admin- 
istrative law judge, in his or her sole discretion, that such additional or 
late requests for discovery should be permitted in the furtherance of jus- 
tice. For purposes of this Section, the term "party" is defined as the per- 
son, or appointing power filing the appeal or complaint, any named re- 
spondent, and their designated legal representatives. 

(b) Each party to the appeal or complaint is entitled to request and re- 
ceive from any other party to the appeal or complaint the names and home 
or business addresses of percipient witnesses to the event(s) in question, 
to the extent known to the other party and of individuals who may be 
called as witnesses during the course of the hearing, except to the extent 
that disclosure of the address is prohibited by law. The responding party 
may. in his or her discretion, provide either the home or business address 
of the witness, except to the extent that disclosure of the address is pro- 
hibited by law. 

(c) Each party to the appeal or complaint is entitled to inspect and make 
a copy of any of the following non-privileged materials in the posses- 
sion, custody, or control of any other party to the appeal or complaint: 

(1) Statements, as that term is defined in Evidence Code Section 225, 
of witnesses proposed to be called as witnesses during the hearing by the 
party and of other persons having personal knowledge of the act, omis- 
sion, event, decision, condition, or policy which are the basis for the ap- 
peal. The responding party shall, upon a showing of good cause and sub- 
ject to the discretion of the administrative law judge, subsequently amend 
this list if it intends to call additional witnesses not previously disclosed; 

(2) All writings, as that term is defined in Evidence Code Section 250, 
that the responding party proposes to enter into evidence. The responding 
party shall, upon a showing of good cause and subject to the discretion 



of the administrative law judge, subsequently provide the requesting 
party with additional writings that it proposes to enter into evidence; 

(3) Any other writing or thing that is relevant to the appeal or com- 
plaint; and 

(4) Investigative reports made by or on behalf of any party to the ap- 
peal or complaint pertaining to the subject matter of the proceeding, to 
the extent that these reports: (A) contain the names and home or business 
addresses of witnesses or other persons having personal knowledge of 
the facts, omissions or events which are the basis for the proceeding, un- 
less disclosure of the address is prohibited by law, or (B) refiect matters 
perceived by the investigator in the course of his or her investigation, or 
(C) contain or include by attachment any statement or writing described 
in (A) to (C), inclusive, or summary thereof. 

(d) All parties receiving a request for discovery shall produce the in- 
formation requested, or shall serve a written response on the requesting 
party cleariy specifying which of those requested matters will not be pro- 
duced and the basis for the non-production, within 15 calendar days of 
receipt of the discovery request. 

(e) Not less than 10 calendar days prior to the first scheduled hearing 
date on the merits, each party shall notify the other parties in writing of 
the identity and current business address of each expert witness to be 
presented as a witness at the hearing, and a brief narrative statement of 
the qualifications of such witnesses and the general substance of the testi- 
mony which the expert is expected to provide. At the same time, the par- 
ties shall also exchange all written reports prepared by each expert wit- 
ness. The administrative law judge may permit a party to call an expert 
witness not included on the list upon a showing of good cause. 

NOTE: Authority cited: Sections 18701 and 182 14, Government Code. Reference: 
Section 87164, Education Code; Sections 225 and 250, Evidence Code; and Sec- 
tions 8547.8, 18670, 18671, 18672, 18672.1, 18673, 18675, 19683 and 
19700-19706, Government Code. 

History 

1. New section filed 8-12-2002; operative 8-12-2002. Submitted to OAL for 
printing only pursuant to Government Code section 1 8214 (Register 2002, No. 

33). 

2. Amendment of section and Note filed 2-28-2006; operative 2-28-2006. Ex- 
empt from the Ad inini strati ve Procedure Act pursuant to section 1 821 1 of the 
Government Code and submitted to the Office of Administrative Law for filing 
with the Secretary of State and publication in the California Code of Regulations 
pursuant to section 18214 of the Government Code (Register 2006, No. 9). 

§ 57.3. Petition to Compel Discovery. 

(a) A party may serve and file with the administrative law judge a pefi- 
tion to compel discovery, naming as responding party any party who has 
refused or failed to provide discovery as required by Section 57.2. A copy 
of the petition shall be served on the responding party on the same date 
the petition is filed with the administrative law judge. 

(b) The petition shall state facts showing the responding party failed 
or refused to comply with Section 57.2, a description of the matters 
sought to be discovered, the reason or reasons why the matter is discover- 
able under that Section, that a reasonable and good faith attempt to con- 
tact the responding party for an informal resolution of the issue has been 
made, and the grounds of the responding party's refusal so far as known 
to the moving party. 

(c)(1) The petition shall be served upon the responding party and filed 
with the administrative law judge within 14 days after the responding 
party first evidenced his or her failure or refusal to comply with Section 
57.2 or within 30 calendar days after the request was made and the party 
has failed to reply to the request, whichever period is longer. However, 
no petition may be filed within 20 calendar days of the date set for com- 
mencement of the administrative hearing, except upon a petition and a 
determination by the administrative law judge of good cause. In deter- 
mining good cause, the administrative law judge shall consider the neces- 
sity and reasons for the discovery, the diligence or lack of diligence of 
the moving party, whether the granting of the petition will delay the com- 
mencement of the administrative hearing on the date set, and the possible 
prejudice of the action to any party. 

(2) The responding parties shall have a right to file a written answer 
to the petition. Any answer shall be filed with the administrafive law 



Page S3 



Register 2006, No. 10; 3-10-2006 



§57.4 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



judge and served on the petitioner within J calendar days of service of 
the petition. 

(3)(A) Unless otherwise stipulated by the parties and as provided by 
this Section, the administrative law judge shall review the petition and 
any response filed by the respondent and issue a decision granting or de- 
nying the petition within 15 calendar days after the filing of the petition. 
Nothing in this Section shall preclude the administrative law judge from 
determining that an evidentiary hearing on the underlying matter shall be 
conducted prior to the issuance of a decision on the petition. The adminis- 
trative law judge shall serve a copy of the order upon the parties by mail 
and/or by facsimile transmission. 

(B) Where the matter sought to be discovered is in the possession, cus- 
tody, or control of the responding party and the responding party asserts 
that the matter is not a discoverable matter under Section 57.2, or is privi- 
leged or otherwise exempt from disclosure, the administrative law judge 
may order lodged with him or her matters that are provided in Section 
91 5(b) of the Evidence Code and shall examine the matters in accordance 
with the provisions thereof. 

(d) Any party aggrieved by the decision of the administrative law 
judge concerning a petition to compel the production of evidence or to 
compel the attendance of a witness may, within 30 calendar days of the 
service of the decision, file a petition to compel discovery in the superior 
court for the county in which the administrative hearing will be held or 
in the county in which the headquarters of the appointing power is lo- 
cated. A party applying for judicial relief from the decision of the Board 
or the administrative law judge concerning any disputed discovery issue 
shall give notice to the Board and all other parties to the action. The notice 
may be either oral at the time of the administrative law judge's decision, 
or written at the same time application is made for judicial relief. 

(e) The administrative law judge may, upon his or her own motion, or 
upon the motion of one or more parties to the action and upon a showing 
of good cause, exercise his or her discretion to continue the initial hearing 
date in order to resolve any contested discovery issues. 

NOTE: Authority cited: Sections 18701 and 18214, Government Code. Reference: 
Section 87164, Education Code; Section 915, Evidence Code; and Sections 
8547.8, 18670. 18671, 18672, 18672.1, 18673, 18675, 19683 and 19700-19706, 
Government Code. 

History 

1. New section filed 8-12-2002; operative 8-12-2002. Submitted to OAL for 
printing only pursuant to Government Code section 1 8214 (Register 2002, No. 
33). 

2. Amendment of section and Note filed 2-28-2006; operative 2-28-2006. Ex- 
empt from the Administrative Procedure Act pursuant to section 1821 1 of the 
Government Code and submitted to the Office of Administrative Law for filing 
with the Secretary of State and publication in the California Code of Regulations 
pursuant to section 182 14 of the Government Code (Register 2006, No. 9). 

§ 57.4. Petition to Quash or for Protective Order. 

(a) Any party claiming that a request for discovery pursuant to Section 
57.2 is improper under that section or is otherwise privileged or exempt 
from discovery, may object to its terms by serving and filing with the ad- 
ministrative law judge and the party requesting the disputed discovery, 
a petition to quash or for a protective order. The petition shall state: (1) 
a description of the matters sought to be discovered; (2) the reason(s) why 
the matter is not discoverable under Section 57.2, or is otherwise privi- 
leged or exempt from discovery; and (3) that a reasonable and good faith 
attempt has been made to contact the requesting party and resolve the 
matter informally. 

(b)(1) The petition shall be served upon the party seeking discovery 
and filed with the administrative law judge within 10 calendar days after 
the moving party was served with the discovery request, or within anoth- 
er time provided by stipulation, whichever period is longer. No petition 
may be filed after the applicable time period has expired except upon 
petition and a determination by the administrative law judge of good 
cause. In determining good cause, the administrative law judge shall con- 
sider the necessity and reason(s) for the petition, the diligence or lack of 
diligence of the petitioning party, whether the granting of the petition will 
delay cominencement of the hearing on the date set, and the possible 
prejudice of the action to any party. 



(2) The party requesting discovery shall have a right to file a written 
answer to the petition with the administrative law judge and served on the 
petitioner within 5 calendar days of the service of the petition to quash 
and/or for a protective order. 

(3)(A) Unless otherwise stipulated by the parties and as provided by 
this section, the adininistrative law judge shall review the petition and 
any response and issue a decision granting or denying the petition within 
20 calendar days after the filing of the petition. 

(B) The administrative law judge shall have the discretion to continue 
any evidentiary hearing or to conduct the hearing prior to the issuance of 
a decision on the petition. 

(C) Where the inatter sought to be discovered is in the possession, cus- 
tody, or control of the responding party and the responding party asserts 
that the matter is not a discoverable matter under Section 57.2, or is privi- 
leged or otherwise exempt from disclosure, the administrative law judge 
may order lodged with him or her matters that are provided in Section 
915(b) of the Evidence Code and shall examine the matters in accordance 
with the provisions thereof. 

(c) A ruling of the administrative law judge concerning a petition to 
quash or for a protective order is subject to review in the same manner 
and to the saine extent as the Board's final decision in the proceeding. 
Any party aggrieved by the decision of the administrative law judge con- 
cerning a petition to quash the production of evidence and/or for a protec- 
tive order may, within 30 calendar days of the service of the decision, file 
a petition to quash and/or for protective order in the superior court for the 
county in which the administrative hearing will be held or in the county 
in which the headquarters of the appointing power is located. A party ap- 
plying for judicial relief from the decision of the Board or the administra- 
tive law judge concerning any disputed discovery issue shall give notice 
to the Board and all other parties to the action. The notice may be either 
oral at the time of the administrative law judge's decision, or written at 
the same time application is made for judicial relief. 
NOTE: Authority cited: Sections 1 8701 and 18214, Government Code. Reference: 
Secnon 87164, Education Code; Section 915, Evidence Code; and Secfions 
8547.8, 18670, 18671, 18672, 18672.1, 18673, 18675, 19683 and 19700-19706, 
Government Code. 

History 

1. New secuon filed 8-12-2002; operative 8-12-2002. Submitted to OAL for 
printing only pursuant to Government Code section 182 14 (Register 2002, No. 
33). 

2. Amendment of section and Note filed 2-28-2006; operative 2-28-2006. Ex- 
empt from the Administrative Procedure Act pursuant to section 1821 1 of the 
Government Code and submitted to the Office of Administrative Law for filing 
with the Secretary of State and publication in the California Code of Regulations 
pursuant to section 18214 of the Government Code (Register 2006, No. 9). 

§ 60. Definition and Purpose. 

Mediation refers to a process whereby a neutral third person called a 
Mediator acts to encourage and facilitate the resolution of a dispute be- 
tween two or more parties. It is a voluntary, informal and nonadversarial 
process with the objective of helping the disputing parties reach a mutual- 
ly acceptable written agreement. In mediation, decision making author- 
ity rests with the parties, not the Mediator. The role of the Mediator in- 
cludes, but is not limited to, assisting the parties in identifying issues, 
fostering joint problem solving, and exploring resolution alternatives. 

The purpose of the State Personnel Board's State Employee Mediation 
Program (SEMP) is to provide an efficient, inexpensive, non-adversarial 
alternative to managing or resolving disputes that occur within the work- 
place, without diminishing the rights of any party to the mediation to sub- 
sequently address the issue(s) in a more traditional administrative, judi- 
cial, or other forum. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Section 
1 1420.20, Government Code. 

History 

1 . New secfion filed 4-4-2002; operative 4-4-2002. Submitted to OAL for print- 
ing only pursuant to Government Code section 18214 (Register 2002, No. 14). 
For prior history, see Register 90, No. 22. 

§60.1. Exclusivity. 

The model regulations related to alternative dispute resolution imple- 
mented by the Office of Administrative Hearings (1 Cal. Code Regs., 



Page 8.4 



Register 2006, No. 10; 3-10-20)6 



Title 2 



State Personnel Board 



§ 60.10 



Sections 1200-1230), pursuant to Government Code Section 1 1420.20, 
are not applicable to SEMP. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Section 
1 1420.20, Government Code. 

History 

1 . New section filed 4-4-2002; operative 4-4-2002. Submitted to OAL for print- 
ing only pursuant to Government Code section 18214 (Register 2002, No. 14). 
For prior histor, see Register 90, No. 22. 

§ 60.2. Scope. 

Any party to a dispute that is either pending, or has the potential to 
come before, the Appeals Division of the State Personnel Board, may re- 
quest that the dispute be referred to mediation. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Section 
1 1420.20, Government Code. 

History 

1 . New section filed 4-4-2002; operative 4-4-2002. Submitted to OAL for print- 
ing only pursuant to Government Code section 18214 (Register 2002, No. 14). 

§ 60.3. Referral of Proceedings. 

(a) Any party to a dispute may initiate mediation by filing a request for 
mediation with the SEMP unit of the Appeals Division. The application 
shall contain: 

( 1 ) a statement as to whether an appeal or complaint has been filed with 
the State Personnel Board or whether the dispute is pending in any other 
forum; 

(2) an election to mediate the dispute; 

(3) the name of the appointing authority and the names, addresses, 
telephone and fax numbers or other appropriate electronic communica- 
tion addresses or numbers of all individual parties to the dispute; and 

(4) a statement as to whether all of the parties to the dispute have 
agreed to mediation. 

(b) Filing a request for mediation constitutes consent to submit the dis- 
pute to mediation. A request for mediation shall not stay any pending pro- 
ceeding and shall have no effect on any procedural or substantive right 
of any party to the dispute, unless each party agrees otherwise in writing. 

(c) A designee of the State Personnel Board shall review the applica- 
tion to determine if the dispute is suitable for mediation. If it is deter- 
mined that the dispute is not suitable for mediation, the designee of the 
State Personnel Board shall notify the requesting party of that fact. If it 
is determined that the dispute is suitable for mediation, the designee of 
the State Personnel Board shall assign the matter to a Mediator for case 
development. 

(d) Upon receipt of assignment of the mediation, the Mediator shall 
contact the party requesting mediation as well as the other parties to the 
dispute to determine whether all parties have agreed to mediate, confirm 
that the case is suitable for mediation, and develop the case for mediation. 
The Mediator will discuss with each party their perspective of the facts, 
issues, and expectations for the mediation. 

(e) If the Mediator is unable to confirm that all of the parties to the dis- 
pute are willing to mediate, or if the Mediator determines the dispute is 
not suitable for mediation, the parties shall be so notified and the matter 
closed or referred back to the appropriate Appeals Division process. 
NOTE: Authority cited: Section 18701, Government Code. Reference: Section 
1 1420.20, Government Code. 

History 
1 . New section filed 4-4-2002; operative 4-4-2002. Submitted to OAL for print- 
ing only pursuant to Government Code section 18214 (Register 2002, No. 14). 

§ 60.4. Date, Time and Place of Mediation. 

Once the Mediator has confirmed voluntary participation by the dis- 
pufing parties, and has confirmed that the case is suitable for mediation, 
the Mediator shall, in consultation with the parties and co-Mediator, fix 
the date, time, and place of each mediation session. The mediation shall 
be held at any convenient location agreeable to the parties and the Media- 
tor. The mediation need not be completed within any set period of time, 
and more than one mediation session may be scheduled if all parties and 
the Mediator agree that additional mediation sessions would prove pro- 



ductive. Statutory, regulatory, and other tiinelines related to the dispute 
itself will not be affected unless by written stipulation of the parties. 
NotE: Authority cited: Section 18701, Government Code. Reference: Section 
1 1420.20, Government Code. 

History 

1 . New section filed 4-4-2002; operative 4-4-2002. Submitted to OAL for print- 
ing only pursuant to Government Code section 18214 (Register 2002, No. 14). 

§ 60.5. Attendance at Mediation. 

All involved, consenting parties shall attend the mediation session(s). 
A party other than a natural person (e.g., a governmental entity) satisfies 
this attendance requirement by sending a representative familiar with the 
facts of the dispute, and that person shall have the authority to negotiate 
and effectively recommend settlement to the governmental entity in- 
volved. Any party to the mediation may have the assistance of an attorney 
or other representauve, but the role of the representative may be limited 
by agreement of the parties and the Mediator so as to best effectuate the 
goals of the mediafion. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Section 
1 1420.20, Government Code. 

History 

1 . New section filed 4-4-2002; operative 4-4-2002. Submitted to OAL for print- 
ing only pursuant to Government Code section 18214 (Register 2002, No. 14). 

§ 60.6. Standards of Conduct for Neutral Mediators. 

Any Mediator, whether a trained volunteer or paid, participating in the 
mediation pursuant to these regulations shall comply in good faith with 
the California statutes and regulations governing mediation, including 
Evidence Code Sections 703 and 1 1 15-1 128 and 2Cal. Code Regs., Sec- 
tions 60-60.10. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Section 
1 1420.20, Govemment Code. 

History 

1 . New section filed 4-4-2002; operative 4-4-2002. Submitted to OAL for print- 
ing only pursuant to Govemment Code section 18214 (Register 2002, No. 14). 

§ 60.7. Agreements. 

Agreements resolving the mediated dispute may be written, signed, 
and dated by the parties or an authorized representative of the party or 
parties. 

NOTE: Authority cited: Section 18701, Govemment Code. Reference: Section 
1 1420.20, Govemment Code. 

History 

1 . New section filed 4-4-2002; operative 4^1-2002. Submitted to OAL for print- 
ing only pursuant to Govemment Code section 18214 (Register 2002, No. 14). 

§ 60.8. Termination of Mediation. 

Any party or the Mediator may terminate the mediation at any time by 
written notice to or by the Mediator and all other parties to the mediation, 
or in any other manner provided by Evidence Code Section 1 125. If any 
party or the Mediator terminates the mediation, or if the mediation does 
not result in resolution, the parties shall resume the same status as before 
the mediafion and shall proceed as if mediation had not taken place. 
NOTE: Authority cited: Section 18701, Govemment Code. Reference: Section 
11420.20, Govemment Code. 

History 
1 . New section filed 4-4-2002; operative 4^t-2002. Submitted to OAL for print- 
ing only pursuant to Govemment Code section 18214 (Register 2002, No. 14). 

§ 60.9. Confidentiality of Communications. 

Confidentiality shall be governed by Evidence Code §703.5 and Evi- 
dence Code Secfions 703.5 and 1115-1128. 

NOTE: Authority cited: Section 18701, Govemment Code. Reference: Section 
1 1420.20, Govemment Code. 

History 
1. New section filed 4-4-2002; operative 4-4-2002. Submitted to OAL for print- 
ing only pursuant to Govemment Code secfion 18214 (Register 2002, No. 14). 

§ 60.1 0. Alternate Resolution of the Complaint/Appeal. 

It is the policy of the Board to encourage parties to a complaint/appeal 
to attempt to resolve the complaint/appeal informally through use of the 
State Persormel Board's State Employee Mediation Program. Toward 
that end, if the parties to a complaint/appeal filed with the Board mutually 



Page 8.5 



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§61 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



request, in writing, an extension of any deadlines set forth in Board regu- 
lations concerning any hearing conducted by the Board in an effort to uti- 
lize the above-referenced alternative dispute resolution processes, the 
Board or its designated representative may grant such a request for an ex- 
tension not to exceed 60 days. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Section 
1 1420.20, Government Code. 

History 

1 . New section filed 4-4-2002; operative 4-4-2002. Submitted to OAL for print- 
ing only pursuant to Government Code section 18214 (Register 2002, No. 14). 

§ 61 . Right to Respond to Charges Prior to Punitive 
Action. 

NOTE: Reference: Section 19574, Government Code. 

History 

1. New section filed 10-16-75 as an emergency; designated effective 10-16-75 
(Register 75. No. 42). 

2. Amendment filed 1-15-76 as an emergency; designated effective 1-15-76. 
Certificate of Compliance included (Register 76, No. 3). 

3. Amendment of section and NOTE filed 4-8-77; effective thirtieth day thereaf- 
ter (Register 77. No. 15). 

4. Renumbering and amendment of former section 61 to section 52.3 filed 
4-26-90; operative 5-26-90 (Register 90, No. 22). For prior history, see Regis- 
ter 

§ 62. Request to File Charges. 

NOTE: Reference: Section 19583.5, Government Code. 

History 

1 . New section filed 1 1-25-53; effective thirtieth day thereafter (Register 53, No. 
21). 

2. Amendment of section and NOTE filed 4—8-77; effective thirtieth day thereaf- 
ter (Register 77, No. 15). 

3. Renumbering and amendment of former section 62 to section 51.9 filed 
4-26-90; operative 5-26-90 (Register 90, No. 22). 

§ 63. Appeal. 

History 

1. Renumbering and amendment of former section 63 to secfion 51.2 filed 
4-26-90: operative 5-26-90 (Register 90, No. 22). For prior history, see Regis- 
ter 85, No. 48. 

§ 64. Time of Filing. 

History 

1. New sections 64 and 65 filed 12-23^7 (Register 10, No. 8). 

2. Repealer of NOTE filed 4-8-77; effective thirtieth day thereafter (Register 77, 
No. 15). 

3. Renumbering and amendment of former section 64 to section 51.2(e) filed 
4-26-90; operative 5-26-90 (Register 90, No. 22). 

§ 65. Answer. 

Unless required by law or these rules, no answer to the appeal need be 
filed. If an answer is filed prior to the hearing, a copy thereof shall be 
mailed by the executive officer or hearing officer to the appellant. If no 
answer is filed and none is required, every material allegation of the ap- 
peal is in issue. 

History 
1 . Editorial correction restoring inadvertently omitted section (Register 95, No. 5). 

§ 66. Dismissal of Appeals Not Brought to Hearing. 

NOTE: Reference: Section 18675, Government Code. 

History 

1 . New section filed 5-17-68; effective thirtieth day thereafter (Register 68, No. 
18). 

2. Amendment of NOTE filed 4-8-77; effective thirtieth day thereafter (Register 
77, No. 15). 

3. Renumbering and amendment of former section 66 to section 52.2 filed 
4-26-90; operative 5-26-90 (Register 90, No. 22). 

§ 67. Reference to Hearing Officer. 

NOTE: Authority cited: Section 18701, Government Code. Reference: 18671, 
18675 and 19582, Government Code. 

History 
1. Amendment of section and NOTE filed 4-8-77; effective thirtieth day thereaf- 
ter (Register 77, No. 15). For prior history, see Register 60, No. 24. 



2. Amendment filed 1 1-26-85; effective thirtieth day thereafter (Register 85, No. 
48). 

3. Renumbering and amendment of former section 67 to section 52 filed 4-26-90; 
operative 5-26-90 (Register 90, No. 22). 

§ 68. Hearing and Decision. 

NOTE: Reference: Sections 18675 and 19582, Government Code. 

History 

1 . Amendment of section and NOTE filed 4-8-77; effective thirtieth day thereaf- 
ter (Register 77, No. 15). For prior history, see Register 53, No. 16. 

2. Repealer filed 4-26-90; operative 5-26-90 (Register 90, No. 22). 

§ 69. Rehearing. 

NOTE: Authority: Section 18701, Government Code. Reference: Sections 19700, 
19701, 19702, 19702.1, 19702.2, 19702.5, 19703, 19704 and 19705, Government 
Code. 

History 

1 . New article 25 (sections 547, 547.1 and 547.2) filed 3-22-76; effective thirtieth 
day thereafter (Register 76, No. 13). 

2. Amendment of NOTE filed 4-8-77; effective thirtieth day thereafter (Register 
77. No. 15). 

3. Renumbering and amendment of former secfion 69 to section 51.7 filed 
4-26-90; operative 5-26-90 (Register 90, No. 22). 

§ 70. Decision Becomes Final When. 

History 

1. Amendment filed 6-28-48 (Register 13, No. 3). 

2. Renumberine and amendment of former secfion 70 to section 51.6 filed 
4-26-90; operative 5-26-90 (Register 90, No. 22). 

§ 73. Public Hearing; Counsel. 

History 

1 . Renumbering and amendment of former secfion 73 to sections 5 1 .4 and 51.5 
filed 4-26-90; operative 5-26-90 (Register 90, No. 22). For prior history, see 
Register 85, No. 48. 

§ 74. Exclusion of Witnesses. 

History 

1. New section filed 11-13-48 (Register 11, No. 2) 

2. Amendment filed 4-8-77; effecrive thirtieth day thereafter (Register 77, No. 
15). 

3. Renumbering and amendment of former section 74 to secfion 52.1 filed 
4-26-90; operative 5-26-90 (Register 90, No. 22). 



Article 5. Compensation 

§ 90. Attendance Records. 

NOTE; Authority cited: Section 18850, Government Code. Reference: Section 
18024, Government Code. 

History 

1. New secfion filed 11-7^9 (Register 18, No. 5). 

2. Amendment of section and NOTE filed 4-8-77; effective thirtieth day thereaf- 
ter (Register 77, No. 15). 

3. Repealer of Article 5 (Secfions 90, 91, 91.1, 91.5, 92-95, 98, 98.1-98.7. 98.9, 
101, 102, 102.5-102.7, 103, 106, 108, 111 and 112) filed 8-28-85; effective 
thirtieth day thereafter (Register 85, No. 35). For prior history of Article 5, in- 
cluding Sections 96, 97, 100, 104, 107, 109 and 110, see Register 77, No. 15. 



Article 6. Overtime 

§130. Definitions. 

NOTE: Authority cited: Section 18020, Government Code. Reference: Sections 

18020, 18021 and 18023, Government Code. 

History 

1. Amendment of NOTE filed 4-8-77; effecfive thirtieth day thereafter (Register 
77, No. 15). For prior history, see Register 54, No. 22. 

2.RepealerofArticle6(Sectionsl30, 130.5, 131-137,137.5, 139 and 139. Dfiled 
8-28-85; effective thirtieth day thereafter (Register 85, No. 35). For prior histo- 
ry of Article 6, including Section 138, see Registers 79, No. 42 and 77, No. 15. 



Article 7. Employment Lists 

For the general statutory provisions on this subject, refer to Section 
1 8900 of the act and sections following. 



Page 8.6 



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Title 2 



State Personnel Board 



§ 171.1 



§151. Eligibility After Appointment. 

When an eligible receives a limited term appointment, that eligible's 
name shall be continued on the employment list for permanent certifica- 
tion. When an eligible receives a permanent appointment, that eligible's 
name shall be removed from the employment list. 

History 
1 . Amendment of section filed 4-8-77; effective thirtieth day thereafter (Register 

77, No. 15). 

§ 151.3. Restoration of Name for Limited-Term 
Certification. 

Upon the recommendation of an appointing power and with the ap- 
proval of the executive officer, the name of an employee who has served 
satisfactorily under limited-term appointment and who resigns may be 
restored to the employment list for further limited-term certification. 
NOTE; Reference: Section 19083, Government Code. 

History 

1 . New section filed 7-10-56; effective thirtieth day thereafter (Register 56, No. 
13). 

2. Amendment of NOTE filed 4-8-77; effective thirtieth day thereafter (Register 
77, No. 15). 

§ 151.5. Limited Term Eligible Lists. 

When the needs of the service require, the executive officer may hold 
examinations and establish eligible lists therefrom for use exclusively in 
making limited term appointments. No person shall be given a permanent 
appointment nor gain permanent status by appointment from such a lim- 
ited term eligible list. 
NOTE: Reference: Section 19083, Government Code. 

History 

1. New section filed 10-10-50 as an emergency; effective upon filing (Register 
22, No. 1). 

2. Amendment filed 7-10-56; effective thirtieth day thereafter (Register 56, No. 
13). 

3. Amendment of NOTE filed 4-8-77; effecdve thirtieth day thereafter (Register 
77, No. 15). 

§ 152. Preferred Limited Term List. 

A preferred limited term list may be established for any class, contain- 
ing the names of limited term employees who have served satisfactorily 
in positions recurring seasonally in a given state agency and who have 
been recommended by the appointing power for inclusion on such list. 
Such preferred limited term list shall be established to correspond to the 
same geographical, organizational, or functional subdivisions of state 
agencies as may be observed in establishing the departmental reemploy- 
ment lists for the same class. Names shall be included on the preferred 
limited term list in the relative order of the original examination ratings 
of the eligibles. In filling limited term vacancies in a given state agency, 
the preferred limited term list for that agency shall be given preference 
over the eligible list but not over any other employment list. The name 
of any eligible included on the preferred limited term list may be contin- 
ued on such list after the abolishment of the eligible list from which the 
eligible was originally certified; but under no circumstances and at no 
time shall any person be certified from the preferred limited term list to 
a permanent position or be permitted to acquire permanent status as a re- 
sult of certification and appointment from any such list. 

§153. Inactive Status. 

If a person's name is placed on inactive status at that person's request, 
it may, upon that person's written request and in the discretion of the ex- 
ecutive officer, be restored to active status on the list. If a person's naine 
is placed on inactive status without that person's request, it will be re- 
stored to active status only if the board or the executive officer finds that 
there is good cause therefor. In any case, the person's name may be re- 
stored to active status only if the employment list on which the person has 
inactive status is still in existence; and the name shall be restored to active 
status according to the person's earned rating in the examination or com- 
bined score for efficiency and seniority, when restored to a reemploy- 
ment list in a class designated as professional, scientific, administrative, 
management or executive, as the case may be. 



NOTE: Authority cited: Section 18701, Government Code. Reference: Section 
18900, Government Code. 

History 

1. Amendment filed 4-8-77; effective thirtieth day thereafter (Register 77, No. 
15). 

2. Amendment filed 10-9-85; effective thirtieth day thereafter (Register 85, No. 

42). 

§ 154. Transfer of Promotional List Eligibility. 

Employees with promotional list eligibihty who move from one 
agency or subdivision to another agency or subdivision without a break 
in service may transfer such proinotional list eligibility to the appropriate 
promotional list of the new agency or subdivision is such list was estab- 
lished as a result of an examination for the same subject matter and with 
the same education and experience admittance requirements. 

An employee who reenters State service in a new agency or subdivi- 
sion within 6 months after a resignation and who, had he/she returned to 
the former agency or subdivision, would have been eligible for certifica- 
tion from a promotional list under (the) provisions of Section 240, may 
apply to have eligibility transferred to the appropriate list or lists of the 
new agency or subdivision under the provisions of this rule. 

Eligibility shall be transferred upon receipt of the written request of the 
employee with the concurrence of the employee's new appointing power 
and the employee's name shall then be placed on the appropriate promo- 
tional list or lists in accordance with the score received in the examina- 
tion. 

When the movement of an employee is the result of the transfer of a 
function or the administration of a law from one State agency to another 
State agency, the above restrictions are not applicable. 
NOTE: Authority cited: Section 18701, Government Code. Reference: Section 
18950, Government Code. 

History 

1 . Amendment of section and Note filed 4-8-77; effective thirtieth day thereafter 
(Register 77, No. 1 5). For prior history, see Register 61 , No. 26. 

2. Amendment filed 4-3-79; effective thirtieth day thereafter (Register 79, No. 
14). 

3. Amendment filed 2-6-87; effective thirtieth day thereafter (Register 87, No. 6). 

4. Change without regulatory effect amending section filed 9-16-92 pursuant to 
section 100, title 1, California Code of Regulations (Register 92, No. 39). 

Article 8. Examinations 

For the general statutory provisions on this subject, refer to Section 
18930 of the act and sections following. 

§171. Announcement. 

Examinations shall be held at such times and places as the executive 
officer may determine. The executive officer shall direct the preparation 
of every examination and the publication of an announcement thereof 
The announcement shall specify the basis of competition to be permitted 
in the examination. An examination may be given on a promotional-only 
basis, a combined open and promotional basis, an open-only basis, or an 
open, non promotional basis. Each announcement shall state the title, 
salary range, and where appropriate, the duties of the class; the method 
of evaluating the education, experience, and personal qualifications of 
the competitors; such information as is required by the act and these 
mles; and such additional information as the executive officer may deem 
proper. An examination may be canceled by the executive officer at any 
time prior to the establishment of the employment list. 
NOTE: Reference: Section 18950, Government Code. 

History 

1. Amendment filed 1 1-1-72; effective thirtieth day thereafter (Register 72, No. 
45). For prior history, see Register 70, No. 47. 

2. Amendment of NOTE filed 4-8-77; effective thirtieth day thereafter (Register 
77, No. 15). 

§ 1 71 .1 . Amount of Time Required to Meet Minimum 
Qualifications. 

Unless otherwise provided in the class specification adopted by the 
board, when determining whether an applicant has completed the mini- 
mum time required by the experience component in the minimum quali- 
fications prescribed for the class, the following shall apply: 



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BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



(a) The calendar time required shall have been in a full-time job or 
work assignment. A full-time job or work assignment is the maximum 
number of hours an individual can spend on a job without a requirement 
that he/she be given overtime compensation or, where overtime is not 
applicable, the number ofhours required for an individual to receive full- 
time pay for the applicable work period. 

(b) An applicant must have the required calendar time unless the appli- 
cant worked two different jobs concurrently, the time spent on two differ- 
ent qualifying jobs worked concurrently shall be added together to deter- 
mine the total amount of qualifying experience. 

(c) Hours worked on the same job in excess of full-time (i.e., overtime 
hours) shall not be credited as additional time. 

(d) Less than full-time experience shall be credited based upon the 
percentage of full-time worked while employed less than full-time [e.g., 
half-time (50%) employment for six months equals three months of full- 
time experience]. 

NOTE: Authority cited: Government Code Section 18701. Reference: Govern- 
ment Code Section 18931. 



History 
1. New section filed 7-3-90; operative 8-2-90 (Register 90, No. 35). 

§172. General Qualifications. 

All candidates for, appointees to, and employees in the state civil ser- 
vice shall possess the general qualifications of integrity, honesty, sobri- 
ety, dependability, industry, thoroughness, accuracy, good judgment, 
initiative, resourcefulness, courtesy, ability to work cooperatively with 
others, willingness and ability to assuine the responsibilities and to con- 
form to the conditions of work characteristic of the employment, and a 
state of health, consistent with the ability to perform the assigned duties 
of the class. Where the position requires the driving of an automobile, the 
employee must have a valid state driver's license, a good driving record 
and is expected to drive the car safely. The foregoing general qualifica- 
tions shall be deemed to be a part of the personal characteristics of the 
minimum qualifications of each class specification and need not be spe- 



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State Personnel Board 



§ 172.7 



• 



cifically set forth therein. The board may prescribe alternative or addi- 
tional qualifications for individual classes and such shall be made a part 
of the class specifications. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Sections 
18931 and 18935, Government Code. 

History 

1 . Amendment of NOTE filed 4-8-77; effective thirtieth day thereafter (Register 
77, No. IS). For prior history, see Register 72, No. 39. 

2. Amendment filed 1 1-20-87; operative 12-20-87 (Register 87, No. 48). 

§ 172.1. Waiver of Additional Special Personal 
Characteristics. 

An alternative or additional special personal characteristic stated in 
the specification for an individual class may, upon the recommendation 
of the State Medical Officer, be waived for a "subject to proper place- 
ment" eligible for a specific position within the class wherein such waiv- 
er would not affect the satisfactory performance of the duties assigned to 
the specific position. Incumbents with "subject to proper placement" sta- 
tus may not transfer to another position within the class without a reeval- 
Liation of the incumbent's medical capabilities in relation to the new posi- 
tion. (Persons who are "subject to proper placement" have completed the 
medical examination; however, they have certain medical conditions that 
may hazardously conflict with the job duties or the performance required 
of most, but not all, positions within the classification.) 
NOTE: Reference: Sections 18930 and 19253.3, Government Code. 

History 
1. New section filed 4-14-77; effective thirtieth day thereafter (Reaister 77, No. 

16). 

§172.2. Citizenship. 

History 

1 . New section filed 12-24-57; effective thirtieth day thereafter (Register 58. No. 
1). 

2. Amendment filed 1 1-22-68 as an emergency; effective upon filing. Certificate 
of Compliance included (Register 68, No. 44). 

3. Repealer filed 1 1-1-72; effective thirtieth day thereafter (Register 72, No. 45). 

§ 172.3. Medical Examinations During Employment. 

In accordance with Government Code Section 19253.5, the appoint- 
ing power may require an employee to submit to a medical examination. 
NOTE: Reference: Secfion 19253.5, Government Code. 

History 

1 . Amendment of NOTE filed 4-8-77; effective thirtieth day thereafter (Register 
77, No. 15). For prior history, see Register 67, No. 37. 

§ 172.4. Definition of Psychological Screening. 

Psychological screening is the mandatory pre-employment assess- 
ment of the psychological fitness of candidates for appointment as peace 
officers including peace officers in either a youth or adult correctional fa- 
cility. 

NOTE: Authority cited: Sections 18211, 18213 and 18701, Government Code. 
Reference: Sections 1031(0and 18931, Government Code; and Section 13601(a), 
Penal Code. 

History 

1. New section filed 2-22-88; operative 3-23-88 (Register 88, No. 10). 

2. Amendment of section and Note filed 4-19-2005; operative 4-19-2005. Sub- 
mitted to OAL for printing only pursuant to Government Code sections 182 11 
and 18213 (Register 2005, No. 16). 

§ 172.5. Definition of Qualified Professional. 

A qualified professional shall meet the criteria set forth in Government 
Code Section 1031, subdivision (f). 

NOTE: Authority cited: Sections 18211, 18213 and 18701, Government Code. 
Reference: Secfion 1031(f), Government Code; and Section 13601(a), Penal 
Code. 

History 

1. New section filed 2-22-88; operative 3-23-88 (Register 88, No. 10). For histo- 
ry of former secfion 172.5, see Register 72, No. 28. 

2. Change without regulatory effect amending section filed 9-16-92 pursuant to 
section 100, title 1, California Code of Regulations (Register 92, No. 39). 

3. Amendment of section and Note filed 4-19-2005; operative 4-19-2005. Sub- 
mitted to OAL for printing only pursuant to Government Code sections 1821 1 
and 18213 (Register 2005, No. 16). 



§ 172.6. Responsibility for Psychological Screening. 

The board shall psychologically screen candidates for peace officer 
classifications, unless the board delegates to an appointing power the au- 
thority to conduct psychological screenings in accordance with this regu- 
lation. No appointing power shall conduct any psychological screenings 
without prior board authorization, except as otherwise authorized by law. 
Any request for authorization must be submitted in writing to the board. 
An appointing power authorized by the board to conduct psychological 
screening shall do so in accordance with the procedures defined in Sec- 
tions 172.7, 172.8, 172.9, and 172.10. 

NOTE: Authority cited: Sections 18211, 18213 and 18701, Government Code. 
Reference: Section 18500, Government Code. 

History 

1. New section filed 2-22-88; operafive 3-23-88 (Register 88, No. 10). 

2. Amendment of secfion heading, secfion and Note filed 4-19-2005; operative 
4-19-2005. Submitted to OAL for printing only pursuant to Government Code 
sections 18211 and 18213 (Register 2005, No. 16). 

§ 172.7. Standards and Procedures for Psychological 
Screening. 

The standards and procedures for conducting psychological screening 
shall be as follows: 

(1) Minimum Psychological Standards. In order to be certified as a 
peace officer, a candidate must be found to be free from any job relevant 
psychological, emotional or mental traits, characteristics, or conditions 
that might adversely affect the performance of the duties and powers of 
a peace officer. 

(2) Psychological Tests. Each candidate shall take a minimum of two 
written psychological tests (inventories) consistent with the require- 
ments of the Commission on Peace Officer Standards and Training 
(POST). 

(3) Evaluation Interview. Each candidate shall have a face-to-face 
evaluation interview conducted by a qualified professional as defined in 
Section 172.5 and selected by the board's Psychological Officer. With 
respect to each candidate, the interviewing qualified professional shall 
have prior access to all psychological screening tests and questionnaire 
data, summaries of available prior screening reports, summaries of avail- 
able prior mental health evaluation/treatment records and salient medical 
records, and a summary of the appointing power's background investiga- 
tion report. 

(4) Report of Findings. The interviewing qualified professional shall 
submit to the board's Psychological Officer a recommendation as to 
whether the candidate meets the minimum psychological standards for 
appointment as a peace officer, together with a detailed report of findings 
and opinions that explain and support the recommended decision. 

(5) Screening Determination. The board's Psychological Officer shall 
determine whether candidates should be certified as meeting the psycho- 
logical standards for appointment as peace officers, subject to the right 
of appeal to the board. In determining whether a candidate meets the psy- 
chological standards for appointment as a peace officer, the board's Psy- 
chological Officer shall consider the qualified professional's report of 
findings, written psychological test data, and substantiating behavioral 
evidence derived from one or more of the following sources: prior evalu- 
ation and/or treatment records; background investigation or other in- 
formation collected by the appointing power or the board; the candidate's 
self-report of personal history; and behavior manifested in the evaluation 
interview. 

NOTE: Authority cited: Sections 18211, 18213 and 18701, Government Code. 
Reference: Secfions 1031(f)-(g) and 18931, Government Code; and Sections 
13503, 13506, 13510, 13510.5 and 13601(a), Penal Code. 

History 

1. New section filed 2-28-88; operafive 3-23-88 (Register 88, No. 10). 

2. Change without regulatory effect amending section filed 9-16-92 pursuant to 
secfion 100, title 1, California Code of Regulafions (Register 92, No. 39). 

3. Repealer of former secfion 172.7 and renumbering of former section 172.8 to 
section 172.7, including amendment of section and Note, filed 4-1 9-2005; op- 
erafive 4-19-2005. Submitted to OAL for printing only pursuant to Govern- 
ment Code sections 1821 1 and 18213 (Register 2005, No. 16). 



Page 9 



Register 2005, No. 16; 4-22-2005 



§ 172.8 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



§ 172.8. Psychological Screening Withhold from 
Certification. 

The board may withhold or withdraw from certification, prior to ap- 
pointment, any candidate who does not meet the minimum psychological 
standards as defined in Section 172.7(1). 

NOTE; Authority cited: Sections 18211, 18213 and 18701, Government Code. 
Reference: Section 18935, Government Code. 

History 

1. New section filed 2-28-88; operative 3-23-88 (Register 88, No. 10). 

2. Change without regulatory effect amending subsections (1) and (3) filed 
9-1 6-92 pursuant to section 1 00, title 1 , Cali fornia Code of Regulations (Regis- 
ter 92, No. 39). 

3. Renumbering of former section 172.8 to section 172.7 and renumbering of for- 
mer section 172.9 to section 172.8. including amendment of section and NOTE, 
filed 4-19-2005; operative 4-19-2005. Submitted to OAL for printing only 
pursuant to Government Code sections 18211 and 1 82 1 3 (Register 2005, No. 
16). 

§ 172.9. Appeal of Psychological Screening Withhold. 

Candidates withheld or withdrawn from certification pursuant to Sec- 
tion 172.8 may file a written appeal. Any such appeal shall be filed within 
30 days after the candidate is notified that he or she had been withheld 
or withdrawn from certification. Upon receipt of the written appeal, the 
Appeals division will forward to the candidate instructions for obtaining 
an evaluation from an outside qualified professional selected by the can- 
didate, including a release form to be signed by the candidate authorizing 
the release of psychological screening records to the qualified outside 
professional. The appeal may be dismissed if the candidate fails to return 
the signed authorizafion prior to obtaining an evaluation from the outside 
professional. The qualified outside professional shall, within 90 days of 
the date that the appeal is filed with the board, submit a signed written 
report stating an opinion as to whether the candidate meets the minimum 
psychological standards for appointment as a peace officer, together the 
documentation of findings that explain and support that opinion. The ap- 
peal may be dismissed if the selected outside professional does not sub- 
mit the requisite report within the 90 day time period. The appeal shall 
be dismissed if the qualified professional selected by the candidate does 
not submit an evaluation report recommending that the candidate meets 
the minimum psychological standards for appointment as a peace officer. 
Upon timely receipt of a posifive evaluadon opinion and report from the 
selected outside professional, the appeal shall be scheduled for review. 
NOTE: Authority cited: Sections 18211, 18213 and 18701, Government Code. 
Reference: Section 18670, Government Code. 

History 

1. New section filed 2-22-88; operative 3-23-88 (Register 88, No. 10). 

2. Renumbering of former section 172.9 to section 172.8 and renumbering of for- 
mer section 172. 10 to section 172.9, including amendment of section and Note, 
filed 4-19-2005; operative 4-19-2005. Submitted to OAL for printing only 
pursuant to Government Code sections 1821 1 and 18213 (Register 2005, No. 
16). 

§ 172.10. Retention of Psychological Screening Records. 

The board shall retain all psychological screening testing materials, 
written reports and related records for a minimum of five years. These 
records shall be the exclusive property of the board. Confidentiality of 
these materials and related informafion shall be maintained consistent 
with laws governing the collection, maintenance, and release of medical 
and psychological information, including but not limited to the Informa- 
tion Practices Act of 1977 (Title 1.8 of Division Third, Part 4 of the Civil 
Code, commencing with Section 1798) and the Confidentiality of Medi- 
cal Information Act (Part 2.6 of Division First of the Civil Code, com- 
mencing with Section 56). 

NOTE: Authority cited: Sections 18211, 18213 and 18701, Government Code. 
Reference: Section 18931, Government Code. 

History 

1. New section filed 2-22-88; operative 3-23-88 (Register 88, No. 10). 

2. Change without regulatory effect amending section filed 9-16-92 pursuant to 
section 100, title 1, California Code of Regulations (Register 92, No. 39). 

3. Renumbering of former section 172. 10 to section 172.9 and renumbering of for- 
mer secfion 172.11 to section 172.10, including amendment of section heading, 
section and Note, filed 4-19-2005; operative 4-19-2005. Submitted to OAL 



for printing only pursuant to Government Code sections 1821 1 and 18213 (Reg- 
ister 2005, No. 16). 

§ 1 72.1 1 . Retention of Psychological Screening Testing 
Materials. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Secfion 
1 893 1 . Government Code. 

History 

1. New section filed 2-22-88; operafive 3-23-88 (Register 88, No. 10). 

2. Renumbering of former section 172.1 1 to section 172.10 filed 4-19-2005; op- 
erative 4-19-2005. Submitted to OAL for printing only pursuant to Govern- 
ment Code sections 1821 1 and 18213 (Register 2005, No. 16). 

§173. Fee. 

There shall be no examination fee except that an applicant may be re- 
quired to furnish certain medical examination information without ex- 
pense to the state. 
NOTE: Reference: Sections 18931 and 19261, Government Code. 

History 

1. Amendment filed 1 1-7-69; effective thirtieth day thereafter (Register 69, No. 
45), 

2. Amendment of NOTE filed 4-8-77; effective thirtieth day thereafter (Register 
77, No. 15). 

§174. Applications. 

All applications must be filed at the place, within the time, in the man- 
ner, and on the form specified in the examination announcement. A sepa- 
rate application shall be filed for each examination unless otherwise spe- 
cified in the examination announceinent. All applications shall remain on 
file for at least two years and thereafter until ordered destroyed by the ex- 
ecutive officer. Under no circumstances will applications for examina- 
tions in progress or examinations be returned to applicants. The names 
of applicants shall not be made public. 

Filing an application "within the time" shall mean postmarked by the 
postal service or date stamped at one of the State Personnel Board offices 
(or the appropriate office of the agency administering the examination) 
by the date specified. 

An application not postmarked or date stamped by the specified date 
shall be accepted under one of the following conditions: 

(a) The application was delayed due to a verified error on the part of 
the staff of the State Personnel Board or other agency conducting the ex- 
amination or through a documented administrative error by postal autho- 
rities. 

(b) An application for an examination is submitted in error to the 
wrong State agency and was either postmarked by the postal service or 
date stamped by the agency to which addressed on or before the date spe- 
cified. 

(c) The employing agency verifies examination announcement distri- 
bution problems which prevented timely nofification to an employee of 
a promotional examination. Posting in a centralized location of each 
branch, district, institution, region or office of the department shall con- 
stitute notification of an employee. The examination must be one in 
which the department would typically have competitors and receive an- 
nouncements for internal distribution. 

(d) The employing agency verifies that the applicant failed to receive 
timely notice of a promotional examinafion because the employee was 
away from his/her normal place of work during the entire examination 
publicity period due to work assignment, vacafion, sick leave, or leave 
of absence. The examination must be one the employee would typically 
be expected to compete in. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Section 
1 8934, Government Code; Section 1602.31 , Tide 29, Chapter XIV, Code of Fed- 
eral Regulations. 

History 

1 . Amendment filed 9-15-53; effective thirtieth day thereafter (Register 53, No. 
16). 

2. Amendment of NOTE filed 4-8-77; effective thirtieth day thereafter (Register 
77, No. 15). 

3. Amendment filed 5-6-81; effective thirtieth day thereafter (Register 81, No. 
19). 

4. Amendment filed 7-3-86; effective thirtieth dav thereafter (Register 86, No. 
27). 



• 



Page 10 



Register 2005, No. 16; 4-22-2005 



Title 2 



State Personnel Board 



§ 174.8 



§ 174.6. Compilation of Ethnic, Sex and Disability 
Information. 

The executive officer may gather and maintain information regarding 
the success or failure of applicants by ethnic group, disability, and sex in 
State civil service examinations. Such information may be voluntarily 
provided by the applicant on a detachable section of the application. 
NOTE: Authority cited: Section 18930, Government Code. Reference: Section 
19705, Government Code. 

History 

1 . New section filed 7-16-73; effective thirtieth day thereafter (Register 75, No. 
29). 

2. Amendment of NOTE filed 4-8-77; effective thirtieth day thereafter (Register 
77, No. 15). 

3. Amendment filed 10-9-85; effective thirtieth day thereafter (Register 85, No. 

42). 

§ 174.7. Use of Ethnic, Sex and Disability Information. 

(a) Ethnic, sex and disability information shall not be used in a dis- 
criminatory manner in the selection process. 

(b) Such information shall only be used for one or more of the follow- 
ing purposes: 

(1) research and statistical analysis to assess the fairness of the selec- 
tion process in regard to ethnicity, sex, and the disabled; or 

(2) to provide a basis for corrective action when adverse effect is pres- 
ent, and 

(3) to evaluate the State's affirmative action programs. 



NOTE; Authority cited: Section 18701, Government Code. Reference: Sections 
19702.1 and 19792, Government Code. 

History 

1 . New section filed 7-16-75; effective thirtieth day thereafter (Register 75, No. 
29). 

2. Amendment of NOTE filed 4-8-77; effective thirtieth day thereafter (Register 
77, No. 15). 

3. Amendment filed 8-29-79; effective thirtieth day thereafter (Register 79, No. 
3.5). 

4. Amendinent filed 1-19-89; operative 2-18-89 (Register 89, No. 4). 

5. Chanae without regulatory effect of subsection (b) pursuant to secfion 100, Title 
1. California Code of Regulations filed 5-16-90 (Register 90, No. 22). 

§ 174.8. Confidentiality of Ethnic, Sex and Disability 
Information. 

The executive officer shall implement procedures to insure that ethnic 
and sex information shall be accessible only to authorized persons. Eth- 
nic and disability information on an individual applicant shall not be 
available to any member of an oral interview panel, performance testing 
panel, or the appointing power or the appointing power's representative 
prior to the offer of an appointment. 

NOTE: Authority cited: Section 18930, Government Code. Reference: Section 
19705, Government Code. 

History 

1. New section filed 7-16-75; effective thirtieth day thereafter (Register 75, No. 
29). 

2. Amendment of NOTE filed 4-8-77; effective thirtieth day thereafter (Register 
77, No. 15). 



• 



[The next page is 11.] 



Page 10.1 



Register 2005, No. 16; 4-22-2005 



Title 2 



State Personnel Board 



§190 



3. Amendment filed 10-9-85; effective thirtieth day thereafter (Reeister 85, No. 
42). 

§ 175. Authorization to Take Examination. 

Each applicant shall be notified of the approval or disapproval of his 
application. The applicant's authorization to take the examination shall 
be in such form as may be prescribed by the executive officer. 

§ 176. Questions Approved and Sealed. 

All examination questions shall be approved by the executive officer 
in advance of the examination. In transmitting material containing ex- 
amination questions, each package thereof shall be securely sealed to be 
opened by the authorized agent of the executive officer prior to the ex- 
amination. The correctness of the contents are to be verified and any dis- 
crepancies reported immediately. Security procedures prescribed by the 
executive officer are to be followed. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Sections 
19680 and 19681, Government Code. 

History 

1 . Amendment filed 7-13-79; effective thirtieth day thereafter (Register 79, No. 

28). 

§177. Explanations. 

All necessary explanations will be made to the whole group taking the 
written examination and no question will be explained to any individual 
competitor. Examiners shall not make any comment that may assist any 
competitor to answer any question. 

§178. Prohibited Acts. 

Communication between competitors during examination is strictly 
forbidden; and competitors are forbidden to receive any unauthorized as- 
sistance in the examination. Before the commencement of an examina- 
tion, competitors will be required to hand to the examiner any unautho- 
rized printed or written matter in their possession that might serve to aid 
them in the examination. Evidence of copying or collusion may result in 
the cancellation of his examination and the debarment of the competitor 
from future state civil service examinations of any kind. Copies of the 
questions in the examination may not be made or taken from the exami- 
nation room. 

§179. Identity Concealed. 

Written examinations shall be so managed that the identity of any 
applicant shall be concealed from persons responsible for determining a 
passing score until all the examination papers shall have been marked, 
except in examinations in which the papers are scored objectively and 
both the key answers and the passing score have been predetermined. 
NOTE: Authority cited: Sections 18930 and 19704, Government Code. 

History 

1 . Amendment filed 3-9-59; effective thirtieth day thereafter (Register 59, No. 5). 

2. Amendment filed 7-2-74; effective thirtieth day thereafter (Register 74, No. 
27). 

3. Amendment of NOTE filed 4-8-77; effective thirtieth day thereafter (Register 
77, No. 15). 

§180. Prohibited Marks. 

Any competitor in any written examination who places any identify- 
ing mark upon an examination paper, other than as instructed by the ex- 
amination proctor, may be deprived of all benefits under such examina- 
tion. 
NOTE: Reference: Sections 18930 and 19704, Government Code. 

History 

1. Amendment filed 7-2-74; effective thirtieth day thereafter (Register 74, No. 
27). 

2. Amendment of secfion and NOTE filed 4-8-77; effective thirtieth day thereaf- 
ter (Register 77, No. 15). 

§ 185. Rating of Written Examinations. 

All examination papers shall be marked and graded under the direction 
of the executive officer and in accordance with the examination an- 
nouncement. When, in the course of grading a competitor' s papers, it be- 
comes apparent that competitor would receive a general average percent- 



age less than the minimum percentage for eligibility fixed by the 
executive officer or that competitor would receive less than the minimum 
percentage required on a given portion of the examination then the com- 
petitor shall be considered as having been disqualified and the marking 
of that competitor's papers need not be completed. 

History 

1 . Originally published 3-22-45 (Title 2). 

2. Revision filed 4-1 1-47 (Register 7). 

3. Amendment filed 12-23-47 (Register 10, No. 8). 

4. Amendment filed 4-8-77; effective thirtieth day thereafter (Register 77, No. 
15). 

§ 186. inspection of Examination Papers. 

Examination papers shall be open to inspection only as provided by 
these regulations. 

History 

1. Change without regulatory effect amending section filed 9-16-92 pursuant to 
section 100, title 1, California Code of Regulations (Register 92, No. 39). 

§ 187. Time for Inspection. 

Except as otherwise provided herein, upon written request filed in the 
office of the board within 60 days after notice of the result of their exami- 
nations have been mailed to them, competitors may compare their answer 
sheets with a scoring key at such location as may be designated by the 
executive officer for the purpose of determining whether their answers 
have been accurately scored. Such inspection shall be under supervision 
of a member of the staff or other authorized representative of the board. 
Answer sheets for copyrighted or standardized examinations may be ex- 
cluded by the executive officer from such inspection. 
NOTE: Reference: Section 18934, Government Code. 

History 

1 . Amendment filed 9-1 5-53; effective thirtieth day thereafter (Register 53, No. 
16). 

2. Amendment filed 10-28-58; effective thirtieth day thereafter (Register 58, No. 
20). 

3. Amendment of section and NOTE filed 4-8-77; effective thirtieth day thereaf- 
ter (Register 77, No. 15). 

§188. Who May Inspect. 

A competitor's examination papers shall be open to inspection only 
by: the competitor; the competitor's attorney upon written authorization 
of the competitor; or, with approval of the executive officer, the appoint- 
ing power to whom the eligible has been certified. 
NOTE: Authority cited: Section 18701, Government Code. Reference: Section 
1 8934, Government Code. 

History 

1 . Amendment filed 4-8-77; effective thirtieth day thereafter (Register 77, No. 
15). 

2. Amendment filed 7-13-79; effective thirtieth day thereafter (Register 79, No. 

28). 

§ 189. Copying Prohibited. 

Copying questions or answers contained in written examination pa- 
pers, making erasures or alterations in the markings on the papers, or any 
mutilation thereof by any person is forbidden. Evidence that a competitor 
or the competitor's attorney has copied from, altered, or mutilated an ex- 
amination paper may result in the competitor' s debarment from competi- 
tion in future examinations or the cancellation of the competitor's ehgi- 
bility for employment in the state civil service, or both. 

History 
1. Amendment filed 4-8-77; effective thirtieth day thereafter (Register 77, No. 

15). 

§ 190. Appeal from Written Examination. 

During regular office hours in the seven calendar days beginning on 
the first working day after a written examination has been held and at any 
of the offices of the board or such other places as may be designated by 
the executive officer, any competitor may inspect a keyed copy of the 
questions in the competitor's examination for the express purpose of re- 
questing review of such items as the competitor may believe are incor- 
rectly or improperly keyed. Keyed copies of copyrighted or standardized 



Page 11 



Register 92, No. 39; 9-25-92 



§193 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



examinations will not be available for review. The executive officer may 
also, for examinations given to fill urgent and immediate vacancies in the 
state service, provide that there will be no key inspection privileges. No- 
tice of the suspension of this privilege shall be made a part of the written 
examination instructions given to each competitor at the time of the writ- 
ten examination. The competitor may, during the period of inspection 
provided above, file with the executive officer a written appeal from any 
part of the test, citing the item or items against which the appeal is di- 
rected and stating the reason for such appeal. The examination shall not 
be scored until all the disputed items have been reviewed and appropriate 
adjustment, if any, made by correction in the scoring key or elimination 
of the disputed items. In no event is the executive officer required to fur- 
nish keyed copies of questions of an essay or problem type when in ex- 
ecutive officer's judgment such questions are not subject to scoring by 
an absolute standard. 

In addition to the appeal hereinabove provided, a written appeal may 
be made from the result of the written examination on the grounds of 
fraud or clerical error in scoring the papers. Such appeal must be filed 
with the board within 60 days after notice of the result of the competitor' s 
examination has been mailed to the competitor filing the appeal. 

History 
1. Amendment filed 4-8-77; effective thirtieth day thereafter (Register 77, No. 

15). For prior history, see Register 10, No. 8. 

§193. Formula Rating. 

In any examination, the appraisal of education and experience of the 
competitors may be made by formula applied to the information and data 
given on their official applications. Such appraisal may be made without 
interview and without evaluating the personal qualifications of the com- 
petitors. 

History 
] . Amendment filed 4-15-58; effective thirtieth day thereafter (Register 58, No. 

7). 

§194. Rating by Interview. 

In any examination the education, experience, and personal qualifica- 
tions of competitors may be rated after a qualifications appraisal inter- 
view and such investigations as may be necessary. 

The interview shall be conducted and the ratings made either by a qual- 
ifications appraisal panel of two or more members or by a single repre- 
sentative of the State Personnel Board. The representative of the State 
Personnel Board, either when acting alone or as a member of a panel, may 
be other than a staff member of the State Personnel Board. The executive 
officer shall determine the number of interviewers required to conduct 
each qualifications appraisal interview and shall select and appoint such 
interviewers. 

History 

1 . Repealer of former Section 1 94 filed 4-15-58; effective thirtieth day thereafter. 
For history of former Section 194, see Register 56, No. 12. Former Section 195 
renumbered 194 and amendment filed 4-15-58; effective thirtieth day thereaf- 
ter (Register 58, No. 7). 

2. Amendment filed 2-9-60; effective thirtieth day thereafter (Register 60, No. 4). 

§195. Conduct of Interviews. 

Qualifications appraisal interviews for an examination shall be con- 
ducted by the same interviewer or qualifications appraisal panel, except 
that if the executive officer finds that the needs of the state service require 
or it is necessary in order to fill urgent and immediate vacancies in the 
state service the execufive officer may appoint more than one interviewer 
or qualifications appraisal panel to conduct interviews simultaneously or 
in different locations. If one or more of the members of the qualificafions 
appraisal panel is not present during all or part of the proceedings the pan- 
el may nevertheless proceed. The executive officer or chairperson may 
fill any vacancy by appointment of a qualified person. 

History 
1 . New section filed 4-1 5-58; effective thirtieth day thereafter. Former section re- 
numbered 194 (Register 58, No. 7). 



2. Amendment filed 2-9-60; effective thirtieth day thereafter (Register 60. No. 4). 

3. Amendment filed 4-8-77; effective thirtieth day thereafter (Reeister 77. No. 
15). 

§196. Composition of Panels. 

Each qualificafions appraisal panel shall include a representative of 
the State Personnel Board who shall be the chairman and, except when 
the execufive officer finds that the State's interest will not benefit there- 
from: 

(a) One or more persons within the slate service, preferably from the 
agency or agencies for which the employment list is being established, 
who are familiar with the job requirements of the class for which the ex- 
aminafion is being held; and 

(b) One or more cifizens not in the state service. 

History 

1. Amendment filed 12-23-47; effective thirtieth day thereafter (Register 10, No. 
8). 

2. Amendmem filed 9-1 1-50; effective thirtieth day thereafter (Register 21 , No. 
6). 

3. Repealer and new secnon filed 4-15-58; effective thirtieth day thereafter (Reg- 
ister 58, No. 7). 

4. Amendment filed 2-9-60; effective thirtieth day thereafter (Register 60, No. 4). 

§ 197. Prohibited Membership. 

No member of the State Personnel Board may serve as a member of 
any qualifications appraisal panel unless that board member is the ap- 
poinfing power or a member of the governing body of the agency for the 
use of which the resulting employment list is to be established, and then 
only upon previous approval by the State Personnel Board. 

History 

1 . Amendment filed 12-23-47; effective thirtieth day thereafter (Register 1 0, No. 
8). 

2. Amendment filed 2-9-60; effective thirtieth day thereafter (Register 60, No. 4). 

3. Amendment filed 4-8-77; effective thirtieth day thereafter (Register 77, No. 
15). 

§ 197.5. Disqualification of Interviewer, Rater or 
Administrator Related to Competitor. 

When, in the course of an examinafion: 

(a) A competitor appears before an oral examinafion panel, and that 
compefitor is related by blood, or by adoption, or is or was related by mar- 
riage or is or was a cohabitant with any interviewer, it shall be the duty 
of the interviewer to disqualify him/herself from the interview with that 
parficular competitor and shall not be present during the interview, or 
during any discussion about, or rafing of, the competitor. The absence of 
the interviewer shall be recorded on the rating sheet of the competitor. 
The interview may proceed with a single interviewer. If the chairperson 
is disqualified from interviewing a parficular competitor the chairperson 
shall designate a remaining panel member as the State Personnel Board 
representafi ve for the interview, discussion, and rating of that compefitor 
if the designated chairperson is a board cerfified chairperson. 

(b) Anyone direcfiy involved in the development or administrafion of 
any phase of an examinafion and a competitor are related by blood, or by 
adoption, or are, or were related by marriage or are or were cohabitants: 

(1) The rater shall disqualify him/herself from rafing the applicant, or 

(2) shall not participate in any phase of the administration of that par- 
ficular examinafion. 

(c) For purposes of this rule a cohabitant is a person who shares a resi- 
dence with another person. 

Note-. Authority cited; Section 18701, Government Code. Reference: Section 
18930, Government Code. 

History 

1. New section filed 7-10-56; effective thirtieth day thereafter (Register 56, No. 
13). 

2. Amendment filed 4-15-58; effective thirtieth day thereafter (Register 58, No. 
7). 

3. Amendment of NOTE filed 4-8-77; effective thirtieth day thereafter (Register 
77, No. 15). 



Page 12 



Register 92, No. 39; 9-25-92 



Title 2 



State Personnel Board 



§202 



• 



4. Amendment File 3-9-87; effective thirtieth day thereafter (Register 87. No. 11). 

§198. Competitive Ratings. 

Ratings of education, experience, and personal qualifications shall be 
made on a competitive basis in that each competitor shall be rated thereon 
in relation to the minimum qualifications for the class in question and in 
relation to the comparable qualifications of other competitors. The term 
"personal qualifications" includes all such personality traits and person- 
al, moral, and physical characteristics as are necessarily comprehended 
by the minimum qualifications established for the class. When rating 
competitor's education and experience, interviewers shall consider the 
quality, length, and pertinence of such education and experience, and the 
degree to which competitor's total education and work histories repre- 
sent suitable preparation for the work of the class. 

History 

1 . Amendment filed 4-1 S-.'SS: effective thirtieth day thereafter (Register 58, No. 

7). 

§199. Minimum Qualifying Ratings. 

In qualifications appraisal interviews, ratings accorded competitors 
shall all be expressed in percentages, with 70 percent being the minimum 
qualifying rating, or shall all be expressed as qualified or eliminated 
without the assignment of percentage ratings. For each examination the 
executive officer shall determine whether percentage ratings or ratings 
of qualified or eliminated shall be used. Ratings shall be made indepen- 
dently by each interviewer either before or after discussion with other in- 
terviewers if there is a panel interviewing the candidate. Ratings shall be 
made on forms prescribed by the executive officer, which shall be signed 
by the interviewer. 

A competitor shall be eliminated only if a majority of the members of 
the qualifications appraisal panel assign the competitor ratings below 70 
percent or rafings of "eliminated." 

When the ratings are expressed in percentages, the rafings of the sever- 
al members of a qualificafions appraisal panel shall be averaged to deter- 
mine each competitor's final rafing on education, experience, and per- 
sonal qualifications, except that, if the average rating is below 70 percent 
but there is not a majority of the members who assign ratings below 70 
percent, the compefitor shall be given a rafing of 70 percent, and except 
that, if a majority of the members assign a rating below 70 percent, the 
compefitor shall be eliminated regardless of the fact that compefitor's av- 
erage rating may be 70 percent or more. 
NOTE; Reference: Sections 18930 and 18936, Government Code. 

History 
1 . Amendment of section and NOTE filed 4-8-77; effective thirtieth day thereaf- 
ter (Register 77, No. 15). For prior history, see Register 64, No. 15. 

§ 1 99.1 . Alternate Ratings. 

When the only reason for the eliminafion of a competitor by an oral 
interview panel is the compefitor's failure to possess the minimum edu- 
cation or experience qualifications established for the class or possession 
of required licenses or cerfificates, the panel shall, in addition to the pro- 
cedure described in Section 199, make an alternate rating as though the 
candidate possessed such qualifications, which rating shall be not less 
than 70 percent. If the competitor appeals the elimination and the board 
grants that appeal, the competitor's rating shall be the alternate rating. 
The alternate rating assigned under the provisions of this section is confi- 
dential and may not be revealed to the competitor or the board until the 
board grants an appeal and orders that the alternate rating be used. 
NOTE: Authority cited: Section 18930, Government Code. Reference: Section 
1 8930, Government Code. 

History 

1. New section filed 1 1-21-61; effective thirtieth day thereafter (Register 61, No. 
23). 

2. Amendment of section and Note filed 4-8-77 ; effective thirtieth day thereafter 
(Register 77, No. 15). 

3. Amendment filed 10-9-85; effective thirtieth day thereafter (Register 85, No. 

42). 

4. Change without regulatory effect amending section filed 9-16-92 pursuant to 
section 100, title 1, California Code of Regulations (Register 92, No. 39). 



§ 200. Reports on Promotional Competitors. 

In any promotional examination, the executive officer may establish 
procedures for furnishing qualifications appraisal interviewers with re- 
ports concerning the performance of compefitors. 

History 

1. Repealer and new section filed 4-15-58; effective thirtieth day thereafter (Reg- 
ister 58, No. 7). 

2. Amendment filed 2-9-60; effective thirtieth day thereafter (Register 60. No. 4). 

3. Amendment filed 4-26-60; effective thirtieth day thereafter (Register 60, No. 
10). 

§ 201. Special Inquiry. 

In any examinafion, the executive officer may make special inquiry 
into the past records of coinpetitors and shall disqualify any whose re- 
cords or reputations shall in the executive officer's judgment warrant 
such action. 

NOTE: Reference: Sections 18930 and 18935, Government Code. 

History 

1 . Amendinent filed 1 1-23-59; effective thirtieth day thereafter (Register 59, No. 
20). 

2. Amendment of section and NOTE filed 4-8-77; effective thirtieth day thereaf- 
ter (Register 77, No. 15). 



§ 202. Appeal from Qualifications Appraisal Panel. 

(a) In examinations with two or more weighted portions, within 30 
days after the notice of the result of the examination has been mailed, a 
competitor disqualified by a qualifications appraisal panel may appeal to 
the State Personnel Board to review that competitor's rating on the 
grounds that it was the result of failure to follow prescribed rating stan- 
dards or procedures, or of erroneous interpretation or application of the 
minimum qualifications prescribed for the class, or that it was the result 
of fraud, or of discriminafion within the meaning of Sections 19702 or 
19703 of the Government Code, or of other improper acts or circum- 
stances. The appeal shall be in writing and shall state the facts, informa- 
tion, or circumstances upon which the appeal is based. 

(b) In considering an appeal filed under subsecfion (a), the board shall: 

(1) Sustain the rating; or, 

(2) Grant the appeal and give a rating of 70 percent on education, expe- 
rience, and personal qualifications; or, 

(3) If it determines that the rating was the result of fraud, or of discrimi- 
nation within the meaning of Sections 19702 or 19703 of the Govern- 
ment Code, give the competitor such passing rating as it may decide, or 
cancel part or all of the interview ratings given by that panel, arrange for 
reexamination of the appellant and other affected competitors by a differ- 
ent panel, and withhold part or all of the eligible list from certification 
until the reexamination is completed; or, 

(4) Where it finds the existence of extraordinary circumstances in the 
conduct of the interview that it determines warrants referral of the request 
for review of the rating either to the original or to a new qualifications 
appraisal panel, it may make this referral with such instructions as it 
deems appropriate for reconsideration of the competitor's rating. On 
completion of such reconsideration, the qualifications appraisal panel ei- 
ther shall recommend that the rating be sustained or shall recommend a 
revised rating for the competitor. Following such recommendation, the 
Board may sustain the original rating or it may give the competitor a rat- 
ing of 70 percent or the revised rating recommended by the qualifications 
appraisal panel. 

(c) In examinations where the quahficafions appraisal panel is the only 
weighted portion, within 30 days after the nofice of the result of the ex- 
aminafion has been mailed, a competitor who received a rating below the 
rating required for placement on the Hst may appeal to the State Personnel 
Board to review that rafing on the grounds that it was the result of failure 
to follow prescribed rafing standards or procedures, or of erroneous inter- 
pretafion or applicafion of the minimum qualifications prescribed for the 
class, or that it was the result of fraud, or of discrimination within the 
meaning of Sections 19702 or 19703 of the Government Code, or of other 
improper acts or circumstances. The appeal shall be in writing and shall 



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state the facts, information, or circumstances upon which the appeal is 
based. 

(d) In considering an appeal filed under subsection (c), the board shall: 

(1) Sustain the rating; or, 

(2) Grant the appeal and give a rating equal to that of the lowest eligible 
on the list; or. 

(3) If it determines that the rating was the result of fraud, or of discrimi- 
nation within the meaning of Sections 19702 or 19703 of the Govern- 
ment Code, give the competitor such passing rating as it may decide, or 
cancel part or all of the interview ratings given by that panel, arrange for 
reexamination of the appellant and other affected competitors by a differ- 
ent panel, and withhold part or all of the eligible list from certification 
until the reexamination is completed; or, 

(4) Where it finds the existence of extraordinary circumstances in the 
conduct of the interview that it determines warrant referral of the request 
for review of the rating either to the original or to a new qualifications 
appraisal panel, it may make this referral with such instructions as it 
deems appropriate for reconsideration of the competitor's rating. On 
completion of such reconsideration, the qualifications appraisal panel ei- 
ther shall recommend that the rating be sustained or shall recommend a 
revised rating for the competitor. Following such recommendation, the 
board may sustain the original rating or it may give the competitor a rat- 
ing equal to that of the lowest eligible on the list or the revised rating rec- 
ommended by the qualifications appraisal panel. 

NOTE: Reference: Section 18930, Government Code. 

History 

1. Amendment filed 1 1-16-70; effective thirtieth day thereafter (Register 70, No. 
47). For prior history, see Register 65, No. 24. 

2. Amendment filed 4-28-76; effective thirtieth day thereafter (Register 76, No. 
18). 

3. Amendment of section and Note filed 4-8-77; effective thirtieth day thereafter 
(Register 77, No. 15). 

4. Change without regulatory affect amending subsections (b), (d) and (d)(4) filed 
9- 1 6-92 pursuant to section 1 00, title 1 , California Code of Regulations (Regis- 
ter 92, No. 39). 

§ 203. Employee Development Appraisal. 

In promotional examinations, the development and fitness of a com- 
petitor for performance of the duties of the promotional class may be 
rated through a process known as Employee Development Appraisal. 
Whenever this process is used, appraisal reports on each competitor shall 
be made by persons who know the competitor's work and development. 
A review committee shall be appointed by the executive officer. The re- 
view committee shall review all appraisal reports to insure uniform appli- 
cation of standards and completeness and accuracy of information. The 
review committee shall, after its review, determine a single rating for 
each competitor and transmit this rating to the executive officer. The ex- 
ecutive officer shall establish all procedures and standards necessary to 
carry out the purpose of this rule. 

History 

1 . New Sections 203 through 203.6 filed 5-14-57; effective thirtieth day thereafter 
(Register 57, No. 8). 

2. Amendment filed 5-1 1-59; effecfive thirtieth day thereafter (Register 59, No. 

8). 

3. Amendment filed 1 2-26-74; effective thirtieth day thereafter (Register 74, No. 
52). 

4. Amendment filed 4-8-77; effective thirtieth day thereafter (Register 77, No. 
15). 

§ 203.1 . Announcement to Employees. 

In filing a request to the executive officer, for the use of employee de- 
velopment appraisal in a departmental or subdi visional promotional ex- 
amination, an appointing authority shall indicate that an announcement 
of intent has been made to the employees. 

History 

1. Amendment filed 6-19-59; effective thirtieth day thereafter (Register 59, No. 
10). 

2. Amendment and repealer of NOTE filed 4-8-77; effective thirtieth day thereaf- 
ter (Register 77, No. 1 5). 



§ 203.2. Competitive Ratings. 

Employee development appraisal shall be made on a competitive basis 
in that each competitor shall be rated on the probability of satisfactory 
performance in the promotional class and in relation to the probability of 
satisfactory performance by the other competitors. 

History 

1. Amendment filed 4-8-77: effective thirtieth day thereafter (Reeister 77. No. 
15). 

§ 203.3. Minimum Qualifying Rating. 

Ratings shall be expressed in percentages with 70 percent being the 
minimum qualifying rating. 

§ 203.4. Classes to Which Applicable. 

Employee development appraisal shall not be used in examinations for 
promotion to classes with a maximum salary of less than $530 a month. 

§ 203.5. Appeal from Employee Development Appraisal 
Rating. 

(a) In examinations with two or more weighted portions, within 30 
days after the notice of the result of the examination has been mailed, a 
competitor whose employee development appraisal rating was not quali- 
fying may request a revision of that rating on the grounds that it was the 
result of failure to follow the prescribed rating standards or procedures, 
or of erroneous interpretation or application of minimum qualifications 
prescribed for the class, or that it was the result of fraud, or of discrimina- 
tion within the meaning of Sections 19702 or 19703 of the Government 
Code, or of other improper acts or circumstances. The request shall be in 
writing and shall state the facts, information, or circumstances upon 
which the request is based. 

(b) In considering an appeal filed under subsection (a), the Board shall: 

(1) Sustain the rating; or, 

(2) Grant the appeal and give a rating of 70 percent; or, 

(3) If it determines that the rating was the result of fraud, or of discrimi- 
nation within the meaning of Sections 19702 or 19703 of the Govern- 
ment Code, give the competitor such passing rating as it may decide, or 
cancel part or all of the ratings given, arrange for reexamination of the 
appellant and other affected competitors, and withhold part or all of the 
eligible list from certification until the reexamination is completed; or, 

(4) Where it finds the existence of extraordinary circumstances in the 
conduct of the employee development appraisal process that it deter- 
mines warrant referral of the request for review of the rating either to the 
original or to a new employee development appraisal rating committee, 
it may make this referral with such instructions as it deems appropriate 
for reconsideration of the competitor's rating. On completion of such re- 
consideration, the rating committee either shall recommend that the rat- 
ing be sustained or shall recommend a revised rating for the competitor. 
Following such recommendation, the Board may sustain the original rat- 
ing or it may give the competitor a rating of 70% or the revised rating rec- 
ommended by the employee development appraisal rating committee. 

(c) In examinations where the employee development appraisal rating 
is the only weighted portion of an examination, within 30 days after the 
notice of the result of the examination has been mailed, a competitor 
whose employee development appraisal rating was below that of the low- 
est eligible on the list may request a revision of that rating on the grounds 
that it was the result of failure to follow the prescribed rating standards 
or procedures, or of erroneous interpretation or application of minimum 
qualifications prescribed for the class, or that it was the result of fraud, 
or of discrimination within the meaning of Sections 19702 or 19703 of 
the Government Code, or of other improper acts or circumstances. The 
request shall be in writing and shall state the facts, information, or cir- 
cumstances upon which the request is based. 

(d) In considering an appeal filed under subsection (c), the Board shall: 

(1) Sustain the rating; or, 

(2) Grant the appeal and give a rating equal to that of the lowest eligible 
on the list; or. 



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(3) If it determines that the rating was the result of fraud, or of discrimi- 
nation within the meaning of Sections 19702 or 19703 of the Govern- 
ment Code, give the competitor such passing rating as it may decide, or 
cancel part or all of the ratings given, arrange for reexamination of the 
appellant and other affected competitors, and withhold part or all of the 
eligible list from certification until the reexamination is completed; or, 

(4) Where it finds the existence of extraordinary circumstances in the 
conduct of the employee development appraisal process that it deter- 
mines warrant referral of the request for review of the rating either to the 
original or to a new employee development appraisal rating committee, 
it may make this referral with such instructions as it deems appropriate 
for reconsideration of the competitor's rating. On completion of such re- 
consideration, the rating committee either shall recommend that the rat- 
ing be sustained or shall recommend a revised rating for the competitor. 
Following such recommendation, the Board may sustain the original rat- 
ing or it may give the competitor a rating equal to that of the lowest eligi- 
ble on the list or the revised rating recommended by the employee devel- 
opment appraisal rating committee. 

NOTE: Reference Section 18930, Government Code. 

History 
1. Amendment of section and NOTE filed 4-8-77; effective thirtieth day thereaf- 
ter (Register 77, No. 15). For prior history, see Register 76, No. 18. 

§ 203.6. Limitation. 

History 
] . Repealer filed 5-1 1-59; effective thirtieth day thereafter (Register 59, No. 8). 

§ 203.7. Composition of Employee Development Appraisal 
Review Committee. 

Each employee development appraisal review committee shall in- 
clude a representative of the State Personnel Board who is the chairper- 
son and two or more additional persons from within state service. These 
committee members will be from the agency or agencies for which the 
employment list is being established and will be familiar with the job re- 
quirements of the class for which the examination is being held. If, how- 
ever, the executive officer determines that the interests of the state would 
be better served in an individual examination by having only one state 
service representative or by adding an additional committee member 
from outside state service, the executive officer may modify the compo- 
sition of the committee accordingly. 
NOTE: Reference Section 18930, Government Code. 

History 

1 . New section filed 1 2-26-74; effective thirtieth day thereafter (Register 74, No. 
52). 

2. Amendment of section and NOTE filed 4-8-77; effective thirtieth day thereaf- 
ter (Register 77, No. 15). 

§ 205. Computing Examination Score. 

All percentage ratings derived from the various parts of an examina- 
tion shall be rounded to the second decimal place and considered accu- 
rate to that degree for the purpose of computing examination scores. 
Wherever minimum ratings are specified in these rules, they shall be con- 
sidered binding to the second decimal place; that is, "70 percent" shall 
imply 70.00 percent, and "85 percent" shall imply 85.00 percent. 

The weights assigned to the various parts of an examination represent 
the relative value of each part in the whole examination. The method of 
obtaining the average percentage of the examination is as follows: Multi- 
ply the rating obtained in each part by the relative weight of that part, add 
the products, and divide the sum of the products by the sum of the relative 
weights. The quotient thus obtained will be the average percentage for 
the examination. For the purpose of establishing employment lists, this 
average percentage shall be: (1) rounded to the second decimal place for 
examinations in which certification from the resulting employment list 
will be on the basis of the three highest names under Government Code 
Section 19057; or (2) rounded to the nearest whole number for examina- 
tions in which certification from the resulting employment list will be on 
the basis of the three highest ranks under Government Code Sections 
19057.1, 19057.2 and 19057.3. 



In an examination for a class in which certification of eligibles is on 
the basis of the three highest ranks, the ranking of eligibles on the result- 
ing employment list shall be on the basis of scores rounded to the nearest 
whole percentage number. Upon request of an appointing power, the ex- 
ecutive officer shall also provide an informational listing of the competi- 
tors' average percentage scores rounded to the second decimal place. 
NOTE: Reference: Sections 18936, 19057, 19057.1, 19057.2 and 19057.3, Gov- 
emment Code. 

History 

1. Amendment filed 1 1-6-70 as an emergency; designated effective 1 1-23-70. 
Certificate of Compliance included (Register 70, No. 45). For prior history, see 
Register 58, No. 20. 

2. Amendment of NOTi; filed 4-8-77; effective thirtieth day thereafter (Register 
77, No. 15). 

3. Change without regulatory effect amending section and Note filed 9-16-92 
pursuant to section 1 00, title 1 . California Code of Regulations (Register 92, No. 
39). 

§ 206. Minimum Rating Required. 

CoiTipetitors shall be required to attain a score of not less than 70 per- 
cent in each part of the examination and a general average score of not 
less than 70 percent in order to qualify in an examination; except that, in 
a promotional examination, it is within the discretion of the executive of- 
ficer to require a higher general minimum average, which minimum shall 
in no case exceed 85 percent. In written tests, the 70 percent used to repre- 
sent the minimum score need not be the arithmetic 70 percent of the total 
possible score but may be an adjusted score based on a consideration of 
the difficulty of the test, the quality of the competition, and the needs of 
the service. Any such adjusted score shall be established before the iden- 
tification of the competitors' examination papers. 
NOTE: Reference: Sections 18936 and 18937, Government Code. 

History 
1 . New NOTE filed 4-8-77; effective thirtieth day thereafter (Register 77, No. 15). 

§ 207. Qualifying for Lower Class. 

When an examination is held for any given class and if there is also 

being held an examination for a lower class in the same series, it shall be 

within the discretion of the executive officer to pass a competitor for a 

place on the eligible list for the lower class if the competitor attains a 

passing score for the examination for the lower class but does not receive 

a passing score in the examination for the higher class in which he/she 

is competing. 

NOTE: Authority cited; Section 18701, Government Code. Reference: Section 
1 8930, Government Code. 

History 

1 . Amendment filed 4-8-77; effective thirtieth day thereafter (Register 77, No. 
15). 

2. Amendment filed 3-9-87; effective thirtieth day thereafter (Register 87, No. 
11). 

§ 208. Medical or Physical Requirements. 

History 
1. Repealer filed 12-23-47 (Register 10, No. 8). 

§ 209. Notice of Examination Result. 

As soon as the scoring of an examination has been completed and the 
eligible list established, each competitor shall be notified in writing of the 
results of this examination. If the competitor is successful, this notice 
shall include the competitor's general average percentage and relative 
position upon the resulting employment list except when lists are merged 
under a program of continuous testing. 
NOTE: Reference: Sections 18575 and 18939, Government Code. 

History 

1. Amendment filed 3-9-59; effective thirtieth day thereafter (Register 59, No. 5). 

2. Amendment of secdon and NOTE filed 4-8-77; effective thirtieth day thereaf- 
ter (Register 77, No. 15). 

§ 21 0. Establishing List in Case of Tie. 

In an examination in which certification from the resulting employ- 
ment list is on the basis of the three highest names, two or more competi- 
tors receiving the same percentage rating shall be placed on the list ac- 
cording to their respective percentage ratings attained in the chief 



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essentia] of the examination; except that, if one of stich competitors is a 
veteran, that competitor shall be given the preference if the examination 
is one in which veterans preference is granted. If the tie continues it shall 
be broken by lot. 
NOTE: Reference: Sections 18973, 19057 and 19057.1, Govemment Code. 

History 

J. Amendment filed 11-6-70 as an emergency; designated effective 11-23-70. 
Certificate of Compliance included (Register 70, No. 45). 

2. Amendment of section and NOTE filed 4-8-77; effective thirtieth day thereaf- 
ter (Register 77, No. 1 5). 



§211. Eligibility. 

If an employee is dismissed from state employment by adverse action 
or as a result of disciplinary proceedings, that dismissed employee shall 
not thereafter be permitted to take any state civil service examination or 
be certified from an eligible list to any position in the state service without 
the prior consent of the Executive Officer. 

Dismissed employees' requests to participate in state civil service ex- 
aminations shall be subject to the following: 

(a) Requests must be filed with the Board at least five (5) working days 
prior to the final filing date of the examination(s) for which the dismissed 
employee wishes to apply. 

(b) All requests shall be in writing and accompanied by a completed 
state examination application. 

(c) Requests shall clearly identify the facts, circumstances, and rea- 
sons that support the dismissed employee's request to take the examina- 
tion(s). The request, at a minimum, shall include the date of the dismissal, 
the reasons for the dismissal, and the reasons why the dismissed em- 
ployee believes that he or she should be permitted to take the examina- 
tion(s). The dismissed employee may also submit substantiation of cor- 
rected behavior, letters of recommendation, employment evaluations, 
and other materials and/or declarations to support the request. 

(d) Requests will be reviewed on a case-by-case basis, taking into 
consideration the following factors: 

1. The type of examination/classification for which the dismissed em- 
ployee wishes to apply. 

2. The circumstances/causes surrounding the dismissal and any re- 
strictions that impact the request. 

3. Any pattern of successful employment after the dismissal. 

4. Confirmation/assurance of corrected and/or sustained improved be- 
havior. 

5. Acceptance of responsibility for past wrongful actions. 

6. Demonstration of readiness to re-enter state service. 

7. Information, in writing, from the dismissing department responding 
to the dismissed employee's request to participate in the examination(s). 

8. Any other factor deemed relevant to the request, including those fac- 
tors set forth in Govemment Code Section 18935. 

No later than 30 days after receipt of the request, the Executive Officer 
shall determine whether to grant the dismissed employee permission to 
participate in the examination(s). If the Executive Officer determines that 
additional time is necessary in order to obtain relevant information he or 
she may extend the time for determination and notify the dismissed em- 
ployee of the extension and the reasons therefor. If the Executive Officer 
determines that the information submitted by the dismissed employee so 
warrants, the Executive Officer may grant the dismissed employee a 
blanket waiver to apply for any examination for which the dismissed em- 
ployee meets the minimum qualifications. The Executive Officer shall 
set forth his or her decision in writing. A dismissed employee may appeal 
to the Board from the Executive Officer's decision within 30 days after 
receipt of that decision. 

Note: Authority cited: Sections 18211, 18213 and 18701, Government Code. 
Reference: Sections 18935 and 18941, Government Code. 

History 

1. Amendment of section and Note filed 4-8-77; effective thirtieth day thereafter 
(Register 77, No. 15). For prior history, see Register 76, No. 25. 

2. Change without regulatory effect amending section filed 1 1-26-90 pursuant to 
secnon 100, title 1, California Code of Regulations (Register 91, No. 2). 



3. Amendment of section and Note filed 2-24-2005; operafive 2-24-2005. Sub- 
mitted to OAL for printing only pursuant to Govemment Code sections 1 821 1 
and 18213 (Register 2005, No. 8). 

§ 21 1 .1 . Limitations on Administrative Hearing or Medical 
Interpreter Certification for Non-Citizens. 

(a) All eligibility requirements contained herein shall be applied with- 
out regard to the race, creed, color, gender, religion, disability or national 
origin of the individual applying for the public benefit. 

(b) Pursuant to Section 41 1 of the Personal Responsibility and Work 
Opportunity Reconciliation Act of 1996, (Pub. L. No. 104-193 
(PRWORA)), (8 U.S.C. § 1621), and notwithstanding any other provi- 
sion of this division, aliens who are not qualified aliens, nonimmigrant 
aliens under the Immigration and Nationality Act (INA) (8 U.S.C. § 1 101 
el seq.), or aliens paroled into the United States under Section 212(d)(5) 
of the INA (8 U.S.C. § 1 1 82(d)(5)), for less than one year, are not eligible 
to receive Administrative Hearing or Medical Interpreter Certification as 
set forth in Government Code Section 11435.30 and 11435.35. 

(c) A qualified alien is an alien who, at the time he or she applies for 
or renews certification, is, under Section 431(b) of the PWRORA (8 
U.S.C. § 1641(b)), any of the following: 

(1 ) An alien lawfully admitted for permanent residence under the INA 
(8 U.S.C. § 1101 etseq.). 

(2) An alien who is granted asylum under Section 208 if the INA (8 
U.S.C. § 1158). 

(3) A refugee who is admitted to the United States under Section 207 
of the INA (8 U.S.C. § 1157). 

(4) An alien who is paroled into the United States under Section 
212(d)(5) of the INA (8 U.S.C. § 1 182(d)(5)) for a period of at least one 
year. 

(5) An alien whose deportation is being withheld under Section 243(h) 
of the INA (8 U.S.C. § 1253(h)). 

(6) An alien who is granted conditional entry pursuant to Section 
203(a)(7) of the INA as in effect prior to April I, 1980. 

(7) An alien who, under Section 43 1(c)(1) of the PRWORA (8 U.S.C. 
§ 1641(c)(1)), meets all of the conditions of subparagraphs (A), (B), (C), 
and (D) below: 

(A) The alien has been battered or subjected to extreme cruelty in the 
United States by a spouse or a parent, or by a member of the spouse's or 
parent's family residing in the same household as the alien, and the 
spouse or parent of the alien consented to, or acquiesced in, such battery 
or cruelty. 

(B) In the opinion of the Attorney General of the United States, which 
opinion is not subject to review of any court, there is a substantial connec- 
tion between such battery or cruelty and the need for the benefits to be 
provided. 

(C) The alien has been approved or has a petition pending which sets 
forth a prima facie case for: 

(i) status as a spouse or child of a United States citizen pursuant to 
clause (ii), (iii), or (iv) of Section 204(a)(1)(A) of the INA (8 U.S.C. 
§1154(a)(l)(A)(ii),(iii)or(iv)), 

(ii) classification pursuant to clause (ii) or (iii) of Section 204(a)(1)(B) 
of the INA (8 U.S.C. § 1 154(a)(l)(B)(ii) or (iii), 

(iii) suspension of deportation and adjustment of status pursuant to 
Section 244(a)(3) of the INA (8 U.S.C. § 1254(a)(3)), or 

(iv) status as a spouse or child of a United States citizen pursuant to 
clause (i) of Section 204(a)(1)(A) of the INA (8 U.S.C. § 1 154(a)(1)(A)) 
or classification pursuant to clause (i) of Section 204(a)(1)(B) of the INA 
(8 US.C.§ 1154(a)(1)(B)). 

(D) For the period for which benefits are sought, the individual respon- 
sible for the battery or cruelty does not reside in the same household or 
family eligibility unit as the individual subjected to the battery or cruelty. 

(8) An alien who, under Section 431 (c)(2) of the PRWORA (8 U.S.C. 
§ 1641(c)(2)), meets all of the conditions of subparagraphs (A), (B), (C), 
(D) and (E) below: 

(A) The alien has a child who has been battered or subjected to extreme 
cruelty in the United States by a spouse or a parent of the ahen (without 



• 



• 



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§ 211.1 



• 



the active participation of the alien in the battery or cruelty), or by a mem- 
ber of the spouse's or parent's family residing in the same household as 
the alien, and the spouse or parent consented or acquiesced to such bat- 
tery or cruelty. 

(B) The alien did not actively participate in such battery or cruelty. 

(C) In the opinion of the Attorney General of the United States, which 
opinion is not subject to review of any court, there is a substantial connec- 
tion between such battery or cruelty and the need for the benefits to be 
provided. 

(D) The alien meets the requirements of subsection (b)(7)(c) above. 

(E) For the period for which benefits are sought, the individual respon- 
sible for the battery or cruelty does not reside in the same household or 
family eligibility unit as the individuals subjected to the battery or cruel- 
ty- 

(d) For purposes of this section, "nonimmigrant" is defined the same 
as in Section 101(a)(15) of thelNA (8 U.S.Cr§ 1101(a)(15)). 

(e) For purposes of establishing eligibility for the Administrative 
Hearing or Medical Interpreter Certification, prior to examination all of 
the following must be met: 



(1) The applicant must declare himself or herself to be a citizen of the 
United States or a qualified alien under subsection (c), a nonimmigrant 
alien under subsection (d), or an alien paroled into the United States for 
less than one year under Section 212(d)(5) of the IN A (8 U.S.C. 
§ 1182(d)(5)). The alien shall declare that status through use of the 
"Statement of Citizenship, Alienage, and Immigration Status for State 
Public Benefits," SPB Form 15. 

(2) The applicant must present documents of a type acceptable to the 
Immigration and Naturalization Service (INS) which serve as reasonable 
evidence of the applicant's declared status. A fee receipt from the INS for 
replacement of a lost, stolen, or unreadable INS document is reasonable 
evidence of the alien's declared status. 

(3) The applicant must complete and sign SPB Form 15. 

(f)(]) Pursuant to Section 434 of the PRWORA (8 U.S.C. § 1644), in- 
formation regarding any applicant presenting the following documenta- 
tion as reasonable evidence of the applicant's declared status under sub- 
section (e)(2) shall be reported to the Immigration and Naturalization 
Service: 



• 



[The next page is 17.] 



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Register 2005, No. 8; 2-25-2005 



Title 2 



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§213 



• 



(A) The document presented indicates immigration status but does not 
include an alien registration or alien admission number. 

(B) The document is suspected to be counterfeit or to have been al- 
tered. 

(C) The document includes an alien registration number in the A60 
000 000 (not yet issued) or A80 000 000 (illegal border crossing) series. 

(D) The document is one of the following: an INS Form 1-181 b notifi- 
cation letter issued in connection with an INS Form 1-181 Memorandum 
of Creation of Record of Permanent Residence, an Arrival-Departure 
Record (INS Form 1-94) or a foreign passport stamped "PROCESSED 
FOR 1-551, TEMPORARY EVIDENCE OF LAWFUL PERMANENT 
RESIDENCE" that INS issued more than one year before the date of 
application for the Administrative Hearing or Medical Interpreter Certi- 
fication. 

(2) Pursuant to Section 434 of the PRWORA (8 U.S.C. § 1644), where 
the Cooperative Personnel Services, working on behalf of the State Per- 
sonnel Board, reasonably believes that an alien is unlawfully in the State 
based on the failure of the alien to provide reasonable evidence of the 
alien's declared status, after an opportunity to do so, said alien shall be 
reported to the Immigration and Naturalization Service. 

(g) Eligibility for Administrative Hearing or Medical Interpreter Cer- 
tification is established where subsections (e)(l)-(3) are satisfied. Any 
alien who provides documentation specified under subsection (0(1 ) shall 
be eligible for Administrative Hearing or Medical Interpreter Certifica- 
tion until and unless the Cooperative Personnel Services, working on be- 
half of the State Personnel Board, receives written confirmation from the 
Immigration and Naturalization Service that the alien is not eligible for 
Administrative Hearing or Medical Interpreter Certification. 

(h) Any applicant who is denied eligibility to take the examination for 
Administrative Hearing or Medical Interpreter Certification under this 
Section is entitled to file an appeal with the State Personnel Board within 
30 days after service of the denial notice on the candidate. The appeal 
must be in writing and must contain arguments and materials that support 
the applicant's appeal. The State Personnel Board may chose either an 
investigatory or evidentiary hearing to resolve the appeal. The State Per- 
sonnel Board shall make the final decision on the appeal. 
NOTE: Authority cited: Section 18701, Government Code. Reference: 8 U.S.C. 
§§ 1621, 1641 and 1642; Sections 11435.0 and 11435.35, Government Code; and 
Section 51.2, CCR. 

History 

1 . New section filed 9-29-97; operative 9-29-97. Submitted to OAL for printing 
only (Register 97, No. 40). 

§ 212. Use of Out-of-Class Experience in Meeting 

l\1inimum Qualifications for an Examination. 

(a) Definition — Out-of-class experience is that work experience 
gained by the performance of duties outside the class concept of the em- 
ployee' s class of appointment. 

Nothing in this part shall be deemed to condone or encourage the as- 
signment by management or the performance of out-of-class work by an 
employee not authorized by law. 

(b) Verification of out-of-class experience. An employee shall be eli- 
gible to receive credit for out-of-class experience in meeting the mini- 
mum qualifications for a civil service examination: 

(1) When all of the following criteria are met: 

(A) The employee shall submit a written request that the appointing 
authority, or his/her designee, certify that the employee accepted and per- 
formed duties assigned by the appointing authority that were not consis- 
tent with the employee's class of appointment. Requests shall not be 
made prior to performing out-of-class duties a minimum of 30 consecu- 
tive calendar days, nor later than one year after the ending date of the out- 
of-class duties. 

(B) The appointing authority or his/her designee under whom the 
claimed out-of-class experience was gained shall document by a written 
statement the employee's request for certification of out-of-class expe- 
rience. The department's statement shall include a description of the type 
and level of duties performed; a conclusion regarding whether the duties 



are or are not consistent with the employee's class of appointment and, 
if not consistent, an identification of the class to which such duties are 
appropriate; the beginning and ending dates of the out-of-class experi- 
ence; the title of the examination for which the employee is applying, if 
applicable; and any further information required by the executive officer. 

(C) The applicant shall attach a copy of the verification statement to 
the application form for any examination for which he/she is applying. 

(D) The out-of-class experience shall not be used to progress from the 
trainee to the Journey level in a class series or deep class at a rate faster 
than that permitted for persons appointed to such classes. If the em- 
ployee's class of appointment has a transfer relationship, as defined by 
Section 433, to the class series or deep class in which out-of-class was 
gained and verified, and the out-of-class experience gained was at the 
trainee through journey level, the experience shall be credited for exami- 
nation purposes on a cumulative basis starring at the level to which the 
employee could have transferred. 

Where a promotional relationship, as defined in section (b) of Section 
431, exists between the employee's class of appointment and the class 
series or deep class in which out-of-class experience is claimed and veri- 
fied, the experience will be credited on a cumulative basis starting at the 
entry level of the class series or deep class. 

For the purposes of this regulation: 

A "class series" is any vertically related group of two or more classes 
in the same occupational specialty or program area but different in level 
of responsibility, which constitutes a primary promorional pattern for a 
specifically identifiable group of employees; and 

A "deep class" is a class which has more than one salary range and 
where, by Board resolufion, a salary range other than the lowest range of 
the class may be used for determining employee status. 

(E) The out-of-class duties were performed for a minimum time peri- 
od generally required to assume the full range of responsibilities of the 
class being claimed by the employee. Under this requirement, the mini- 
mum verifiable length of out-of-class experience is 30 consecurive cal- 
endar days. 

(2) When an out-of-class verificafion for reimbursement obtained by 
the employee under Government Code Section 19818.16 indicates that 
the out-of-class experience is being verified also for the purpose of 
meeting the minimum qualifications for civil service examinations. 

(c) Once out-of-class experience is credited under this section, such 
experience may be used for any other examination with a final filing date 
on or after the effecfive date of this section, without the need for reverifi- 
cafion. 

(d) All verificafion statements will remain on file with the department 
for audit purposes for a period not less than five years or until ordered de- 
stroyed by the execufive officer. 

(e) The employee may appeal to the board from the appointing author- 
ity's denial of a request for use of out-of-class experience for meeting 
minimum qualificarions in an examination pursuant to Secfion 51.2. 
NOTE: Authority cited: Sections 18701 and 19050.8, Government Code. Refer- 
ence: Section 19050.8, Government Code. 

History 

1. New section filed 5-14-86; effective thirtieth day thereafter (Register 86, No. 
20.) 

2. Change without regulatory effect of subsection (b)(4) filed 12-21-88 (Register 
89, No. 1). 

3. Change without regulatory effect amending subsections (b)(2), (b)(4), (c) and 
(e) filed 9- 16-92 pursuant to section 100, title 1, California Code of Regulations 
(Register 92, No. 39). 

4. Amendment of subsection (b), including newly designated subsection (b)( 1 ), re- 
numbering of former subsections (b)(l)-(5) to (b)(l)(A)-(E), new subsection 
(b)(2), and amendment of subsections (b)(l)(A)-(B) and (d) filed 2-5-96; op- 
erative 3-6-96 (Register 96, No. 6). 

§ 213. Preemployment Testing for Drug Usage. 

An appoinring power may conduct drug tesfing of applicants for a 
class only when: 

(a) The appointing power has documented the sensifivity of the class 
and the consequences of drug-related behavior by showing that: 



Page 17 



Register 97, No. 40; 10-3-97 



§ 213.1 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



(1) The duties involve a greater than normal level ot trust for, responsi- 
bility for or impact on the health and safety of others, and 

(2) errors in judgment, inattentiveness, or diminished coordination, 
dexterity or composure while performing the duties could clearly result 
in mistakes that would endanger the health and safety of others; and 

(3) employees in these positions work with such independence that it 
cannot be safely assumed that mistakes such as those described in (2) 
could be prevented by a supervisor or another employee. 

(b) The board concludes after a public hearing that the appointing 
power has adequately documented the sensitivity of the class and the 
consequences of drug-related behavior and that drug testing is, there- 
fore, job related for the class; and 

(c) As a result of (a) and (b) above, the board approves the inclusion 
of a requirement of drug testing in the minimum qualifications for the 
class. 

NOTE: Authority cited: Section 1870], Government Code. Reference: Sections 
18930, 1893! and 18935, Government Code. 

History 

1. New section filed 5-1-89; operative 5-31-89 (Register 89, No. 18). 

2. Change without regulatory effect amending subsection (a)(3) filed 9-16-92 
pursuant to section 1 00. title 1, California Code of Regulations (Resister 92, No. 
39). 

§ 213.1. Notice of Drug Testing in Examination 
Announcements. 

Any examination that includes drug testing as provided by Section 213 
shall specify in the examination announcement the type of specimen to 
be collected and the consequences of failing the drug test. 
NOTE: Authority cited: Section 18701. Government Code. Reference: Sections 
18930, 18933 and 18950, Government Code. 

History 

1. New section filed 5-1-89; operative 5-31-89 (Register 89, No. 18). 

2. Change without regulatory effect amending section filed 9-16-92 pursuant to 
section 100, title 1, California Code of Regulations (Register 92, No. 39). 

§ 213.2. Drug Testing of Current Employees and 
Individuals Reinstating. 

An applicant or transferee to a class for which drug testing is required 
pursuant to Section 2 1 3 who is a current employee or a former permanent 
or probationary employee with a break in service as defined in Section 
6.4 shall be subject to drug testing pursuant to Section 213, except that 
if such employee has a current appointinent to a class for which drug test- 
ing is required pursuant to Section 213, he or she shall not be tested. A 
current or former employee subject to testing under this section is 
deemed to be an applicant for purposes of Sections 213.4, 213.5, and 
213.6. 

NOTE; Authority cited: Sections 18071, 19050.4 and 19140, Government Code. 
Reference: Sections 18930 and 19996.1, Government Code. 

History 

1. New section filed 5-1-89; operative 5-31-89 (Register 89, No. 18). 

2. Change without regulatory effect amending section filed 9-16-92 pursuant to 
section 100, title 1, California Code of Regulations (Register 92, No. 39). 

§ 213.3. Laboratories Authorized to Conduct Drug Testing. 

Drug test samples shall only be analyzed by: 

(a) A Commercial laboratory meeting standards that are the same as 
those used by the Department of Health and Human Services 
(DHHS)/National Institute on Drug Abuse (NID A) to certify laboratories 
engaged in urine drug testing for Federal agencies (Mandatory Guide- 
lines for Federal Workplace Drug Testing Program, Federal Register, 
Vol. 53, No. 69); or those standards used by the College of American Pa- 
thologists (CAP) to accredit laboratories for forensic urine drug testing 
(Standards for Accreditation, Forensic Urine Drug Testing Laboratories, 
College of American Pathologists); and 

(1) is capable of same site initial screening and confirmatory tests, 

(2) utilizes FDA-approved immunoassay tests, and 

(3) participates in a laboratory proficiency testing program; and 

(b) A laboratory which is not a component organization of a State de- 
partment. 



NOTE: Authority cited: Section 18701, Government Code. Reference: Section 
1 8930, Government Code. 

History 

I. New section filed 5-1-89; operative 5-31-89 (Register 89, No. 18). 

§ 213.4. Required Components for Drug Testing. 

Any drug testing or retesting procedure conducted pursuant to Sec- 
tions 213 or 213.2 must be approved by the executive officer and shall 
include all of the following: 

(a) The dmg screening methodology to be used, which shall be a type 
of irnmunoassay, except that another method may be used if a department 
can demonstrate that it is equally reliable as immunoassay; 

(b) The drugs to be tested which shall include at least the following 
drugs of abuse; 

(J) AmphetaiTiines and Methamphetamines 

(2) Cocaine 

(3) Marijuana/Cannabinoids (THC) 

(4) Opiates (narcotics) 

(5) Phencyclidine (PCP) 

(c) Cutoff levels for screening tests that will identify positive samples 
while minimizing false positive test results; 

(d) An authorization to test forin which shall include at least the fol- 
lowing: 

(1) A list of the specific drugs to be tested for, and a description of the 
consequences of failing the drug test as specified in Section 213.5; 

(2) A signature block, to be signed by the applicant before the drug test 
begins, authorizing the test to proceed and authorizing the necessary dis- 
closure of medical information pursuant to Section 213.4. 

(3) A statement that applicants who decline to sign the form or decline 
to be tested will be disqualified from the examination. 

(e) (1) A requirement that the applicant disclose on a form, separate 
from the authorization to test form, all drugs and other medications taken, 
whether prescribed or not, within the 14 days prior to testing. This infor- 
mation shall be examined only by the appointing power and only if the 
applicant has a positive confirmatory drug test, except that for purposes 
of administering Section 213.6, this information may be examined by the 
board and staff authorized to investigate and/or hear appeals. 

(2) A requirement that the appointing power utilize a Medical Review 
Officer, who shall be a licensed physician with knowledge of substance 
abuse, to review and interpret positive results of confirmatory tests and 
the information submitted by the applicant pursuant to Section 
213.4(e)(1), determine whether the result may have been caused for any 
medically acceptable reason, such as prescribed or over the counter med- 
ications, and report to the appointing power his/her opinion as to the 
cause of the positive drug test. In the process of making this decision, the 
Medical Review Officer may request the applicant to provide additional 
informadon regarding all drugs and other medicafions taken. 

(f) Specimen chain of custody provisions which shall include at least 
the following: 

(1) A procedure to assure that a valid specimen is acquired, the donor 
is properiy identified, and that no tampering or mishandling of the speci- 
men occurs from initial collection to final disposition. 

(2) A written log in which is recorded the name, signature, Ume of re- 
ceipt, and fime of release of each person handling, testing or storing each 
specimen, or reporting test results. 

(3) Collection of specimen samples in a clinical setting such as a labo- 
ratory collection station, doctor's office, hospital or cUnic, or in another 
setUng approved by the executive officer on the basis that it provides an 
equally secure and professional collection process. 

(g) Procedure for confirmauon of posifive screening test results ufiliz- 
ing gas chromatography/mass spectrometry (GC/MS); 

(h) Nouces to the applicant which shall be written and based n the fol- 
lowing; 

(1) If the screening test resultis negafive, the test is concluded and the 
applicant has passed the drug test. 

(2) If the necessary confirmatory test result is negative, the test is con- 
cluded and the applicant has passed the drug test. 



Page 18 



Register 97, No. 40; 10-3-97 



Title 2 



State Personnel Board 



§ 213.6 



(3) If both the screening test and the confirmatory test results are posi- 
tive and the Medical Review Officer's opinion is that the positive test re- 
sults are not because of prescribed or over the counter medication or for 
any other medically acceptable reasons, the applicant has failed the drug 
test. 

(i) Specimen retention and retesting procedure which shall include at 
least the following: 

(1) Retention of all confirmed positive specimens and related records 
by the testing laboratory in secure frozen storage for at least one year fol- 
lowing the test or until all appeals or htigation are concluded, whichever 
is longer. 

(2) Provisions for retesting of confirmed positive specimens by any 
laboratory authorized to conduct drug testing pursuant to Section 2 1 3.3, 
at the request of an applicant and at the applicant's expense, provided that 
the request is received within 30 days of notifying the applicant of his/her 
disqualification. Retesting shall correspond exactly with the initial test- 
ing methods and procedures. 

(j) Provisions for maintaining the confidentiality of test results, which 
shall include at least the following: 

(1) The results of any test conducted pursuant to Sections 213, 213.2 
or 21 3.4(i)(2) shall be given only to the applicant who was tested, the ap- 
pointing power or the executive officer, and cannot be revealed to any 
other party without the written authorization of the applicant except that 
for the purposes of administering (A) Section 21 3.5, the executive officer 
shall reveal a failed dnig test to other State appointing powers who ad- 
minister an examination for which drug testing is required and for which 
the individual is an applicant; or (B) Section 2 13.6, the executive officer 
may reveal a failed dmg test and other relevant information to the board 
and staff authorized to investigate and/or hear appeals. 

(2) The results of any test conducted pursuant to Section 213.2 shall 
not be used in any adverse action proceedings. 

(3) The information disclosed by the applicant pursuant to Section 
213.4(e)(1) shall be examined only the appointing power and only if the 
applicant has a positive confirmatory drug test, except that for purposes 
of administering Section 21 3.6, this information may be examined by the 
board and staff authorized to investigate and/or hear appeals. 

(4) Drug test results which are positive shall be purged frorh all records 
one year from the date the drug test specimen is given except as follows: 

(A) The retention period for drug test results which are positive for a 
drug as specified in Section 213.5(b) shall be ten years from the date the 
drug test specimen is given; 

(B) If a disqualification from an examination as the result of a positive 

test is appealed or litigated, the drug test results shall be retained until the 

appeal or litigation is resolved. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Section 
18930, Government Code; and Section 56.20(c), Civil Code. 

History 

1. New section filed 5-1-89; operative 5-31-89 (Register 89, No. 18). 

2. Change without regulatory effect amending opening sentence, subsections 
(d)(] )-(2), (e)(] )-(2), (i)(2)-(j)(3) and (j)(4)(A) filed 9-16-92 pursuant to sec- 
tion 100, title 1, California Code of Regulations (Register 92, No. 39). 

§ 213.5. Consequences of Drug Use. 

(a) Applicants who fail the drug test pursuant to Section 21 3.4 (h), will 
be disqualified from the examination in which they are competing and, 
except as provided by Section 213.5(e), shall not be eligible to take any 
State civil service examination for a class for which drug testing is re- 
quired until one year has elapsed from the date the drug test specimen is 
given. 

(b) Except as provided by Section 213.5(e), applicants who fail the 
drug test because of a drug for which possession would constitute a 
felony offense under the Uniform Controlled Substances Act (Health and 
Safety Code, division 10, beginning at 1 1 000) shall not be eligible to take 
any State civil service examination for a peace officer class until ten years 
have elapsed from the date the drug test specimen is given. 

(c) Any applicant for a State civil service examination for a peace offi- 
cer class who discloses, or whose background investigation reveals, use 



of a drug for which possession would constitute a felony offense under 
the Uniform Controlled Substances Act (Health and Safety Code, divi- 
sion 1 0, beginning at 1 1 000) subsequent to his or her eighteenth birthday 
and prior to his or her twenty-third birthday, shall be disqualified from 
the examination in which he or she is competing until 5 years have 
elapsed from the date of the disclosed or revealed use of the drug; and 
shall not be eligible to take any State civil service examination for a peace 
officer class until 5 years have elapsed from the date of the disclosed or 
revealed use. If any such disclosed or revealed use occurred on or after 
the applicant's twenty-third birthday, he or she shall be disqualified from 
the examination in which he or she is competing until 10 years have 
elapsed from the date of the disclosed or revealed use of the drug; and 
shall not be eligible to take any Slate civil service examination for a peace 
officer class until 10 years have elapsed from the date of the disclosed or 
revealed use. The disqualification period shall begin on the date that the 
drug was used, and not on the date that the drug use was disclosed or re- 
vealed. 

(d) Any applicant for a State civil service examination for a peace offi- 
cer class who is disqualified from the current examination for one of the 
causes specified in (c) may, upon petition and with the consent of the ex- 
ecutive officer, be permitted to compete in the current examination and, 
if successful, remain on the eligible list. In acting on the request, the ex- 
ecutive officer shall consider evidence submitted by the person of reha- 
bilitation from drug abuse and/or extenuating circumstances regarding 
the drug use. 

(e) Any applicant who is disqualified from taking any subsequent ex- 
amination as specified in this section may, upon petition and with the 
consent of the executive officer, be permitted to take the specified exami- 
nation. In acting on the petition, the executive officer shall consider evi- 
dence submitted by the person of rehabilitation from drug abuse and/or 
extenuating circumstances regarding the drug use. 

Persons denied permission to take a subsequent examination within 
the specified one-, five-, and ten-year periods may appeal in writing to 
the board within 30 days of notification. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Sections 
1031, 18930 and 18935, Government Code; Sections 11000, 11007, 11054-58, 
1 1 350, 1 1 356 and 1 1 377 (California Uniform Controlled Substances Act), Health 
and Safety Code; and Federal Public Health and Welfare Code, Title 42, Chapter 
126, Section 121 14(b) (Americans with Disabilities Act of 1990). 

History 

1. New section filed 5-1-89; operative 5-31-89 (Register 89, No. 18). 

2. Amendment of subsections (b) and (c) filed 3-22-90; operative 4-21-90 (Reg- 
ister 90, No. 15). 

3. Change without regulatory effect amending section filed 9-16-92 pursuant to 
section 100, title 1, California Code of Regulations (Register 92, No. 39). 

4. Amendment of subsections (a), (b), (e) and Note and new subsection (d) and 
relettering filed 1-4-93; operative 2-3-93 (Register 93, No. 2). 

5. Amendment of section heading, subsections (c)-(e) and Note filed 12-15-99; 
operative 12-15-99 pursuant to Government Code section 1 1343.4(d) (Regis- 
ter 99, No. 51). 

§ 213.6. Appeal of a Disqualification Resulting from a 

Failed Drug Test or Background Investigation 
Report. 

(a) This section pertains to and outlines administrative appeal rights 
only. An applicant appealing under this section shall follow the proce- 
dures in Sections 51 through 54.2. 

(b) An applicant disqualified as the result of failing the drug test may 
only appeal the disqualification on the grounds that the drug was ob- 
tained legally, or there has been a violation of test protocol or chain of 
custody procedures, or other irregularity that invalidates the test result. 
A disqualified applicant may have his/her drug test specimen retested at 
his/her own expense as provided in Section 213.4(i)(2) and include the 
results of the retesting in his/her appeal. 

(c) An applicant disqualified or withheld from certification as a result 
of disclosure of drug use or whose background investigation reveals use 
of a drug pursuant to Section 213.5(c) may appeal the disqualification or 
the withholding from certification on any grounds allowable by law. 



Page 19 



Register 99, No. 51; 12-17-99 



§ 215.00 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



(d) an applicant who prevails upon appeal under this section will be 
restored to eligibility in the examination from which disqualified or re- 
stored to the eligible list from which withheld. 

NOTE: Authority cited: Section 18701, Government Code. Reference: sections 
18634, 18670, 118671, 19675 and 18930, Govemment Code. 

History 

1. New section filed 5-1-89; operative 5-31-89 (Register 89, No. 18). 

2. Change without regulatory effect amending section filed 9-16-92 pursuant to 
section 100, title 1, California Code of Regulations (Register 92, No. 39). 

§ 215.00. Demonstration Project: Examination for 
Managerial Classifications. 

NOTE; Authority cited: Section 18701, Govemment Code. Reference: Sections 
19600 and 19607, Government Code. 

History 

1. New article 8 and section filed 9-12-95; operative 10-12-95 (Re2ister95, No. 
37). 

2. Renumbering of former secfion 215.00 to new section 549.50 filed 9-17-97; 
operative 9-17-97. Submitted to OAL for printina only pursuant to Govem- 
ment Code sections 18210, 1821 1 and 18213 (Register 97, No. 38). 

§ 216. Demonstration Project; Health and Welfare Agency 
Data Center Examinations and Appointments. 

NOTE: Authority cited: Section 19602, Government Code. Reference: Section 
19602, Government Code. 

History 

1. New section filed 3-8-96; operative 3-8-96. Submitted to OAL for printing 
only (Register 96, No. 10). 

2. Renumbering of former section 2 16 to new section 549.30 filed 3-10-97; opera- 
tive 3-10-97. Submitted to OAL for printing only (Register 97, No.l 1). 

§ 21 6.1 . Health and Welfare Agency Data Center 
Demonstration Project Competitive 
Evaluations. 

NOTE: Authority cited: Section 19602, Government Code. Reference: Section 
19602, Govemment Code. 

History 

1. New section filed 3-8-96; operafive 3-8-96. Submitted to OAL for printing 
only (Register 96, No. 10). 

2. Renumbering of former secfion 216.1 to new secfion 549.31 filed 3-10-97; op- 
erative 3-10*^97. Submitted to OAL for printing only (Register 97, No. 11). 

§ 21 6.2. Health and Welfare Agency Data Center 

Demonstration Project Notices of Examination 
Results. 

NOTE: Authority cited: Section 19602, Government Code. Reference: Section 
19602, Govemment Code. 

History 

1. New section filed 3-8-96; operative 3-8-96. Submitted to OAL for printing 
only (Register 96, No. 10). 

2. Renumbering of former section 216.2 to new secfion 549.32 filed 3-1 0-97; op- 
erative 3-10^97. Submitted to OAL forprinfing only (Register 97, No. 11). 



Article 9. Promotion 

For the general statutory provisions on this subject, refer to Section 
18950 of the act and sections following. 

§ 231 . General Reference. 

Promotional examinations are governed by the sections of this article 
and such sections in Article 8 as are applicable. 

History 

1. Change without regulatory effect amending section filed 9-16-92 pursuant to 
section 100, title 1, California Code of Regulafions (Register 92, No. 39). 

§ 232. Examinations. 

Whenever the executive officer determines that the needs of the ser- 
vice require, the executive officer may announce and hold promotional 
examinations for purposes of establishing subdivisional, departmental, 
multidepartmental, and servicewide promotional lists, or any combina- 
tion of them. 
NOTE; Reference: Secfion 18533, Government Code. 



History 

1 . Amendment filed 7-13-64; effective thirtieth day thereafter (Register 64. No. 
15). For prior history, see Register 13, No. 11. 

2. Amendment of section and NOTE filed 4-8-77; effective thirtieth day thereaf- 
ter (Register 77, No. 15). 

§ 233. Eligibility. 

ProiTioiional examinations shall be limited to employees who are des- 
ignated under these sections as eligible to participate. 

History 

1. Change without regulatory effect amending section filed 9-16-92 pursuant to 
secfion 100, title 1, California Code of Regulations (Register 92, No. 39). 

§ 234. Promotional Examination Eligibility. 

(a) Except as otherwise provided by law or these regulations, or order 
of the executive officer, a current employee in an agency or subdivision 
designated as appropriate by the executive officer may compete in the 
promotional examination if the employee meets one of the following cri- 
teria: 

(1) Has a permanent appointment. 

(2) Has had a permanent appointment with no subsequent break in ser- 
vice by resignation, non-disability retirement or removal for cause. 

(3) Is on temporary assignment or loan under Section 426 and has per- 
manent civil service status in another agency. 

(b) Persons employed by the legislature who meet the provisions of 
Govemment Code Section 18990 may also compete in promotional ex- 
aminations. 

(c) Only persons with current permanent civil service status or persons 
who meet the provisions of Govemment Code Section 18990 may com- 
pete in career executive assignment examinations. 

(d) Those individuals who resign while competing in a promotional 
examination and who reenter state service within six months with a per- 
manent appointment may, with concurrence of the appointing power, re- 
sume competition in the examination in progress when it is possible to 
do so without requiring the rescheduling of an already completed part of 
the examination. 

NOTE: Authority cited: Section 18701, Govemment Code. Reference Sections 
18950 and 18990, Govemment Code. 

History 

1. Amendment filed 7-3-73; effective thirtieth day thereafter (Register 73, No. 
27). For prior history, see Register 60, No. 20. 

2. Amendment of secfion and Note filed 4-8-77; effecfive thirtieth day thereafter 
(Register 77, No. 15). 

3. Amendment filed 2-6-87; effective thirtieth day thereafter (Register 87, No. 6). 

4. Change without regulatory effect amending subsections (a), (a)(3) and (d) filed 
9-16-92 pursuant to secfion 100, fitle 1, California Code of Regulations (Regis- 
ter 92, No. 39). 

§ 235. Eligibility of Employees Who Have Moved to 
Another Agency. 

An employee who has moved from one agency or subdivision to 
another agency or subdivision without a break in service may participate, 
if otherwise eligible, in the promotional examination for the agency or 
subdivision from which that employee moved while employed (a) under 
probationary status, limited-term appointment, or temporary authoriza- 
tion until that employee first attains permanent status in the new agency 
or subdivision of (b) under an exempt appointment until that employee 
no longer has a right to retum to civil service status under Govemment 
Code Section 19141 or (c) under a training assignment conforming to the 
provisions of Govemment Code Section 19050.8 or (d) under a Career 
Executive Assignment. 

If a promotional examination is being held for an agency or subdivi- 
sion to establish an employment list for an administrative, professional 
or technical class, an employee of another agency or subdivision who is 
otherwise eligible may participate if that employee had promotional eli- 
gibility in the designated agency or subdivision at any time within three 
years of the date of examination and has had no subsequent break in state 
service by resignation, nondisability retirement or removal for cause. 

The executive officer in keeping with the needs of the service may per- 
mit other employees who are otherwise eligible under these regulations 



Page 20 



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§250 



to participate in a promotional examination being held for an agency or 
subdivision in which the employees previously had permanent or proba- 
tionary status. 

NOTE; Reference: Section 18950, Government Code. 

History 

1. Amendment filed 1 1-20-70; effective thirtieth day thereafter (Register 70, No. 
47). For prior history, see Register 62, No. 3. 

2. Amendment of section and Note filed 4-8-77; effective thirtieth dav thereafter 
(Register77, No. 15). 

3. Change without regulatory effect amending section filed 9-16-92 pursuant to 
section 100, title 1, California Code of Regulations (Register 92, No. 39). 

§ 235.2. Eligibility— Other Persons. 

A person who is on a leave of absence or whose name appears on a re- 
employment list may participate in a promotional examination if imme- 
diately preceding leave of absence or layoff that person had appropriate 
civil service status for the examination as required by these regulations. 
NOTE: Reference Section 18950, Government Code. 

History 

1 . New section filed 1 1-25-53; effective thirtieth day thereafter (Register 53, No. 
21). 

2. Amendment filed 1 1-23-59; effective thirtieth day thereafter (Register 59, No. 
20). 

3. Amendment of section and Note filed 4-8-77; effective thirtieth day thereafter 
(Register 77, No. 15). 

4. Change without regulatory effect amending section filed 9-16-92 pursuant to 
section 100, title 1, California Code of Regulations (Register 92, No. 39). 

§ 236. Probationers. 

History 

1 . Amendment filed 10-1 1-55; effective thirtieth day thereafter (Register 55, No. 
15). 

2. Repealer filed 3-9-59; effective thirtieth day thereafter (Register 59, No. 5). 

§ 237. Qualifications. 

No employee may participate in a promotional examination unless 
that employee has the minimum education and experience qualifications 
and any hcense, certificate, or other evidence of fitness prescribed for the 
class for which the examination is given. 
NOTE: Reference: Sections 18931 and 18933, Government Code. 

History 
1. Amendment filed 4-8-77; effective thirtieth day thereafter (Register 77, No. 

15). 

§ 238. Performance Report. 

History 

1 . Repealer filed 12-8-60; effective thirtieth day thereafter. Amendment deferring 
effective date to 4-1-61 filed 12-1 6-60 as an emergency (Register 60, No. 24). 
For prior history see Register 26, No. 1. 

§ 239. Competing Promotionally in Open Examinations. 

Whenever an open examination is held, the executive officer may per- 
mit qualified employees in specified state agencies or subdivisions there- 
of to compete in the examination on a promotional basis. 

§ 240. Effect of Resignation on Promotional List Eligibility. 

An employee who resigns from State service shall relinquish any pro- 
motional list eligibility. If the employee's name appears on any promo- 
tional eligible list, it shall be thereafter withheld from certification. 

If, within 6 months, the employee reenters State service with a perma- 
nent appointment, the employee shall upon application again be eligible 
for certification, from such list or lists as apply to the employee' s new sta- 
tus. 

Nothing in this shall preclude an employee who within 6 months reen- 
ters State service with a permanent appointment under a new hiring au- 
thority from making application for transfer of eligibility under Section 
154 to the appropriate promotional list or lists, if any, of the new hiring 
authority. 

If an employee who is competing in a promotional examination re- 
signs on or before the date the eligible list is established, that employee 
shall not attain any promotional eligibility from such examination unless 
within 6 months the employee reenters State service with a permanent ap- 



pointment and is permitted to resume competition in the examination ac- 
cording to the provisions of Section 234. 

Notwithstanding the above provisions, persons who have resigned for 
reasons of disability refirement shall retain their eligibility for promotion 
and be certifiable for the duration of the eligible list life, subject to medi- 
cal approval. 

Note: Authority cited: Section 18701, Government Code. Reference: Section 
18950, Goveniment Code. 

History 

1 . Amendment and repealer of Note filed 4-8-77; effective thirtieth day thereafter 
(Register 77, No. 15). For prior history, see Register 74, No. 27. 

2. Amendment filed 7-13-79; effective thirtieth day thereafter (Register 79, No. 
28). 

3. Amendment filed 2-6-87; effecfive thirtieth day thereafter (Register 87, No. 6). 

4. Change without regulatory effect amending section filed 9-16-92 pursuant to 
section 100, ntle 1. California Code of Regulations (Register 92, No. 39). 

§ 241. Limitation of Promotional Lists. 

(a) When an examination is to result in a promotional list the number 
of names to be placed on that list shall not be limited unless the announce- 
ment of the examination states: 

(1) The number of names to be placed on the list originally. 

(2) The length of rime the Ust will remain in effect, unless it is ex- 
hausted sooner. 

(3) The required general average score shall be 70%. 

The executive officer shall increase the number of names placed on an 
eligible list beyond the number originally stated on the examination an- 
nouncement as necessary to prevent the occurrence of inequity as the re- 
sult of tied scores, and in order to permit placing on the list the name of 
any person who, as a result of deferred examination, correction of clerical 
error, or granting of appeal, attains a score at least equal to the score of 
a person included on the original list. The executive officer may extend 
the life of the list beyond the announced expiration date or the board, after 
a public hearing, may order the list abolished prior to that date. 

(b) The executive officer may augment the names originally placed on 
an eligible list by one or more blocks of 10 candidates each, or all names 
if fewer than 10 remain, when: 

(1) The original number of names will not meet the state's needs dur- 
ing the life of the list, and 

(2) Qualified candidates can be obtained from those persons succes- 
sful on the original examination but not on the original list, and 

(3) Retesting is impractical for such reasons as inadequate number of 
new candidates, and insufficient time has elapsed for unsuccessful candi- 
dates to have improved their qualifications. 

Note: Reference: Secfions 18937 and 18950, Government Code. 

History 

1 . Amendment filed 12-6-65; effective thirtieth day thereafter (Register 65, No. 

24). 

2. Amendment filed 9-7-71; effective thirtieth day thereafter (Register 71, No. 

37). 

3. Amendment of NOTE filed 4-8-77; effective thirtieth day thereafter (Register 
77, No. 15). 

§ 242. Certification to Limited Term Positions. 

History 

1 . Repealer filed 12-24-64; effective thirtieth day thereafter (Register 64, No. 26). 



Article 10. Appointments 

For the general statutory provisions on this subject, refer to Section 
19050 of the Act and sections following. 

§ 250. Requirement That Selection Be Based on Merit and 
Fitness. 

(a) Appointments to posifions in the State civil service made from eli- 
gible lists in a manner consistent with provisions of Sections 254, 254.1 , 
and 254.2 as related to the certification of eligibles, by way of transfer, 
as defined in Government Code Section 18525.3, or by way of reinstate- 
ment, as defined in Government Code Section 19140, shall be made on 
the basis of merit and fitness, defined exclusively as the consideration of 



Page 21 



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§251 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



each individual's job-related qualifications for a position, including his/ 
her knowledge, skills, abilities, experience, education, training, physical 
and mental fitness, and any other personal characteristics relative to job 
requirements, as determined by candidate performance in selection pro- 
cedures, including, but not limited to. hiring interviews, reference 
checks, background checks, and/or any other procedures, which assess 
job-related qualifications and are designed and administered to select 
those individuals who best meet the selection need. 

(b) Eligible lists shall be created on the basis of merit and fitness, and, 
as such, shall result from: recruitment strategies designed to be as broad 
and inclusive as necessary to best meet the selection need; and candidate 
performance in selection procedures that assess job-related qualifica- 
tions, are competitive in nature, are designed and administered to fairly 
and objectively identify those candidates who meet the selection need, 
and result in the ranking of candidates based on their job-related qualifi- 
cations. 

(c) Permanent status in permanent appointments to the civil service is 
achieved after completion of the required probationary period, the final 
phase of the selection process. Assessment of employee performance 
during the probationary period shall be made on the basis of merit and 
fitness, with regard to the individual's qualifications, including his/her 
knowledge, skills, abilities, experience, education, training, physical and 
mental fitness, and any other personal characteristics relative to job re- 
quirements, and his/her job-related performance. 

(d) All phases of the selection process, including recruitment and ex- 
amining, eligible list creation, appointment, and completion of the civil 
service probationary period, shall provide for the fair and equitable treat- 
ment of applicants and employees on an equal opportunity basis without 
regard to political affiliation, race, color, ancestry, national origin, sex, 
sexual orientation, religion, disability, medical condition, age, or marital 
status. 

(e) Nothing herein shall be construed to relieve appointing powers 
from the obligation to reasonably accommodate individuals with disabi- 
lities as required under the Americans with Disabilities Act, the Fair Em- 
ployment and Housing Act, and the Civil Service Act. 

(f) Nothing herein shall be construed so as to contravene the intent and 
purpose of Article VII, Section 6, of the California Constitution, which 
provides for the granting of preferences in state civil service to veterans 
and their surviving spouses. 

(g) Intra-departmental job assignment transfers within the same job 
classification, such as assignments to different work shifts or work loca- 
tions, or time base changes pursuant to Section 277 do not constitute ap- 
pointments for purposes of this regulation. 

NOTE: Authority cited: Sections 1 821 1 and 18701, Government Code. Reference: 
Article VII, Sections 1 and 6, California Constitution; Sections 18213, 18500, 
18525.3, 18900, 18930, 18950, 18951, 18971-18979, 19050, 19052, 19140, 
19171, 19173 and 19702.2, Government Code. 

History 

1. New section filed 5-17-2004; operative 5-17-2004. Submitted to OAL for 
printing only pursuant to Government Code sections 1 821 1 and 1 821 3 (Regis- 
ter 2004, No. 21). 



§ 251 . Request for Certification. 

Whenever a vacancy is to be filled under Section 19052 of the act, the 
appointing power shall make written request for certification unless 
otherwise prescribed by the executive officer. Such request shall contain 
the statements required by the act and shall include a statement of the 
salary, tenure, and location of the position. Certification shall be made by 
the executive officer. 

NOTE: Reference: Section 19052, Government Code. 

History 

1. Amendment filed 2-10-59; effective thirtieth day thereafter (Register 59, No. 
3). 

2. Amendment of NOTE filed 4—8-77; effective thirtieth day thereafter (Register 
77, No. 15). 



§ 252. To Fill New Positions. 

Whenever a new position is created, the appointing power shall notify 
the executive officer of the propo.sed new position and, at the same time, 
furnish a detailed statement of the duties and requirements of the pro- 
posed position. 

§ 253. Certification to 60-Day Position. 

Where the employment is for a period of 60 days or less, only the 
names of those ehgibles who live in the vicinity of the employment need 
be certified. 

History 

1 . Amendment filed 1 2-24-64: effective thirtieth day thereafter (Register 64, No. 
26). 

§ 254. Appointment Following Certification. 

For a class in which the certification of eligibles is under Government 
Code section 19057.1 and 19057.3, the appointing power shall fill a va- 
cancy in a class by selection from the highest three eligibles certified who 
are willing to accept employment under the conditions of employment 
specified. If the appointing power has at the same time more than one va- 
cancy in the same class, the first and every succeeding vacancy shall be 
filled in like manner by selection in turn from the highest three remaining 
names. For a class in which the certification of eligibles is under Govern- 
ment Code sections 19057.1, 19057.2 and 19057.3, the appointing power 
shall fill a vacancy in a class by selection from the eligibles in the three 
highest ranks certified who are willing to accept employment under the 
conditions of employment specified. If the appointing power has at the 
same time more than one vacancy in the same class, the first and every 
succeeding vacancy shall be filled in like manner by selection in turn 
from the eligibles in the highest three remaining ranks. The provisions of 
this rule do not apply if the certification is from a reemployment list under 
Government Code Section 19056. 

NOTE: Reference: Sections 19056, 19057, 19057.1, 19057.2 and 19057.3, Gov- 
ernment Code. 

History 

1 . Amendment filed 1 2-24-64; effective thirtieth day thereafter (Register 64, No. 
26). 

2. Amendment filed 1 1-7-69; effective thirtieth day thereafter (Register 69, No. 
45). 

3. Amendment filed 11-6-70 as an emergency; designated effective 1 1-23-70. 
Certificate of Compliance included (Register 70, No. 45). 

4. Amendment of Note filed 4-8-77; effective thirtieth day thereafter (Register 
77, No. 15). 

5. Change without regulatory effect amending secfion and Note filed 9-16-92 
pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 
39). 

§ 254.1 . Designation of Classes as Professional, Scientific, 
Administrative, Management or Executive. 

For the purpose of administering Section 19057.1 of the Government 
Code, the executive officer shall designate those classes of positions 
which are considered to be professional, scientific, administrative, man- 
agement, or executive and meet the definition in subsections (a) or (b) be- 
low. 

(a) The work performed either involves supervision of employees as 
a primary duty; or, 

(b) The work is predominantly intellectual and varied in character and 
requires the consistent exercise of discretion and judgment. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Sections 
19057.1 and 19997.3, Government Code. 

History 

1. New secfion filed 1 1-6-70 as an emergency; designated effective 11-23-70. 
Certificate of Compliance included (Register 70, No. 45). 

2. Amendment filed 1 1-8-72; effective thirtieth day thereafter (Register 72, No. 
46). 

3. Amendment of Note filed 4-8-77; effective thirtieth day thereafter (Register 
77, No. 15). 

4. Editorial reprinting of text deleted in error in Register 84, Nos. 8 and 1 2 (Regis- 
ter 84, No. 15). 

5. Amendment filed 8-28-85; effective thirtieth day thereafter (Register 85, No. 
35). 



Page 22 



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• 



6. Change without regulatory effect amending subsection (b) filed 9-16-92 pur- 
suant to section 100, title 1, California Code of Regulations (Register 92, No. 
39). 

§ 254.2. Three Rank Certification. 

The number of names certified to an appointing power to fill vacancies 
as provided by Government Code Sections 19057.1. 19057.2 and 
19057.3 shall, at the option of the appointing power, be one of the follow- 
ing: 

(J) All eligibles in the highest three ranks; or 

(2) Any specific eligible(s), identified by the appointing power, who 
is in one of the highest three ranks. 

NOTE: Authority cited: Sections 18701, 19057.1, 19057.2 and 19057.3, Govern- 
ment Code. Reference: Sections 19057.1, 19057.2 and 19057.3, Government 
Code. 

History 

1. New section filed 1-19-89; operative 2-18-89 (Register 89, No. 4). 

2. Change without regulatory effect pursuant to section 100, title 1, California 
Code of Regulations filed 5-16-90 (Register 90, No. 22). 

3. Change without regulatory effect amending section and Note filed 9-16-92 
pursuant to section 1 00, title 1 , California Code of Regulations (Register 92, No. 
39). 

§ 255. Certification in Case of Waiver. 

History 
1 . Repealer filed 12-24-64; effective thirtieth day thereafter (Register 64, No. 26). 

§ 256. Certification to Laborers' Positions. 

History 
1 . Repealer filed 12-24-64; effective thirtieth day thereafter (Register 64, No. 26). 

§ 257. Cancellation of Request for Certification. 

History 
1. Repealer filed 2-10-59; effective thirtieth day thereafter (Register 59, No. 3). 

§ 258. Reply to Inquiry Following Certification. 

It shall be the duty of every eligible to respond within a reasonable time 
to an inquiry to ascertain his interest in appointment to a position. 

The following standards shall constitute reasonable response time 
frames: 

(1) Telephone: two days' response time following the initial contact; 

(2) Telegram: three days, exclusive of Saturdays, Sundays, and legal 
holidays, after the date the telegram is sent; 

(3) Mailgram: four days, exclusive of Saturdays, Sundays, and legal 
holidays, after the date the mailgram is sent; 

(4) Mail (in town): four days, exclusive of Saturdays, Sundays, and le- 
gal holidays, after the date the notice is sent; 

(5) Mail (out of town): six days, exclusive of Saturdays, Sundays, and 
legal holidays, after the date the notice is sent. 

If the eligible is unavailable for employment within 30 calendar days 
following the date of the job interview, the appointing power may consid- 
er this a waiver for the position. 

Note-. Authority cited: Section 18701, Government Code. Reference: Section 
19050, Government Code. 

History 

1 . Amendment filed 12-24-64; effective thirtieth day thereafter (Register 64, No. 
26). 

2. Repealer of NOTE filed 4-8-77; effective thirtieth day thereafter (Register 77, 
No. 15). 

3. Amendment filed 7-13-79; effective thirtieth day thereafter (Register 79, No. 
28). 

§ 259. Failure to Respond to Telegram. 

History 
1 . Repealer filed 12-24-64; effective thirtieth day thereafter (Register 64, No. 26). 
For prior history see Register 10, No. 8. 

§ 260. Failure to Respond. 

When the board, executive officer, or a state agency transmits to an eli- 
gible any communication concerning availability for any type of employ- 
ment requiring an answer, if the eligible' s response is not received within 
the time provided by Section 258, or if the eligible fails to appear for a 



job interview or for work, that eligible's name shall be placed on inactive 
status for the class concerned and, in the case of certification, is a waiver 
thereof. 

Note, Authority cited: Secfion 18930, Government Code. Reference: Section 
18935, Government Code. 

History 

1 . Amendment filed 12-24-64; effective thirtieth day thereafter (Register 64, No. 
26). 

2. Amendmeni and repealer of Note filed 4-8-77; effective thirtieth day thereafter 
(Register 77, No. 15). 

3. Amendment filed 10-9-85; effective thirtieth day thereafter (Register 85, No. 

42). 

4. Change without regulatory effect amending section filed 9-16-92 pursuant to 
section 100, title 1, California Code of Regulations (Register 92, No. 39). 

§ 261 . Waiver of Certification. 

The executive officer may ascertain from each eligible the salary, ten- 
ure, location, and other pertinent conditions of employment under which 
the eligible will accept appointment. Such statement of acceptable condi- 
tions of employment shall constitute an automatic waiver of certification 
to positions having other conditions of employment. The conditions of 
employment acceptable to an eligible may at: any time be changed at that 
eligible's written request; but, in such event, that eligible shall not be en- 
titled to consideration for appointment to any position for which certifi- 
cation has already been forwarded to the appointing power. 
NOTE: Reference: Secfion 19057, Government Code. 

History 

1. Amendment filed 2-10-59; effective thirtieth day thereafter (Register 59, No. 
3). 

2. Amendment of secfion and NOTE filed 4-8-77; effective thirtieth day thereaf- 
ter (Register 77, No. 15). 

§ 262. Waiver of Appointment. 

After three waivers of appointment to positions in any given class and 
under the conditions of employment acceptable to the eligible as defined 
in Section 261, the eligibles name shall not be certified to future vacan- 
cies for that class except in the case of a promotional or reemployment 
list. 

NOTE: Authority cited: section 18701, Government Code. Reference: Secfion 
18935, Government Code. 

History 

1 . Amendment filed 1 2-24-64; effective thirtieth day thereafter (Register 64, No. 
26). For prior history, see Register 10, No. 8. 

2. Amendment of Note filed 4-8-77; effective thirtieth day thereafter (Register 
77, No. 15). 

3. Amendment filed 3-9-87; effective thirtieth day thereafter (Register 87, No. 
11). 

4. Change without regulatory effect amending secfion filed 9-16-92 pursuant to 
secfion 100, fitle 1, California Code of Regulafions (Register 92, No. 39). 

5. Editorial correcfion of Authority cite (Register 95, No. 5). 

§ 263. Appointment Substantiation. 

The appointing power shall (1) immediately report each appointment 
to the executive officer, and (2) maintain an official employee file includ- 
ing the executed loyalty oath in the manner prescribed by the executive 
officer. 
NOTE: Reference: Secfions 3105 and 18153, Government Code. 

History 

1. Amendment filed 9-12-67; designated effective 1 1-8-67 (Register67, No. 37). 

2. Amendment of NOTE filed 4-8-77; effective thirtieth day thereafter (Register 
77, No. 15). 

§ 264. Certification from Comparable List. 

If fewer than three names of persons willing to accept appointment are 
on the open eligible list for the class to which a position belongs and no 
other employment list for such class is available the executive officer 
may authorize certification of additional names from an employment list 
or lists for an appropriate class of substantially the same or a higher level. 
Note: Reference: Secfion 19055, Government Code. 

History 
1. Amendment of NOTE filed 4-8-77; effective thirtieth day thereafter (Register 

77, No. 15). For prior history, see Register 61, No. 5. 



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§265 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



§ 265. Temporary Authorization. 

If fewer than three names of persons willing to accept appointment are 
on the open eligible list for the class to which a position belongs and no 
other employment hst for such class is available the executive officer 
may authorize the appointing authority to make a temporary appoint- 
ment. 

NOTE: Reference: Sections 19057 and 19058, Govemmeni Code. 

History 

1. New section filed 3-7-61;effectivethirtiethday thereafter (Register 60, No. 5). 

2. Amendment of NOTE filed 4-8-77; effective thirtieth dav thereafter (Reeister 

77, No. 15). 

§ 266. Correction of Appointments. 

When the executive officer determines that an appointment is unlaw- 
ful, the executive officer shall determine the good faith of the appointing 
power and the employee under Section 8 and shall take corrective action 
up to and including voiding the appointment, provided that: 

(a) No corrective action shall be taken on any appointment which has 
been in effect for one year or longer if both the appointing power and the 
employee acted in good faith; and 

(b) No corrective action shall be taken on any appointment which has 
been in effect for five years or longer unless: 

(!) the employee acted in other than good faith; or 

(2) the executive officer determines that the rights of another em- 
ployee are significantly endangered by the retention of the appointment 
in question. 

When an unlawful appointment is terminated or corrected, the em- 
ployee who acted in good faith shall retain only the compensation as de- 
fined in Section 9. In all cases, compensation shall be corrected on a pro- 
spective basis. 

The employee who acted in other than good faith shall reimburse all 
compensation resulting from the appointment. The board in reviewing 
cases on appeal may, based upon the evidence, provide for less than full 
reimbursement of compensation. 

NOTE: Authority cited: Secfion 18701, Government Code. Reference: Sections 
19257 and 19257.5, Government Code. 

History 

1. New section filed 1-18-82; effective thirtieth day thereafter (Register 82, No. 
4). 

2. Change without regulatory effect amending opening paragraph and subsection 
(b)(2) filed 9-16-92 pursuant to section 100, title 1, California Code of Regula- 
tions (Register 92, No. 39). 

§ 266.1. Remedial Measures. 

When the appointment of an employee who acted in good faith is being 
terminated pursuant to Section 266, the employee shall be afforded: 

(1) deferred competition in examinations in which, in the judgment of 
the executive officer, the employee would be likely to have competed if 
he or she had not accepted the terminated appointment, provided that the 
examination is in progress or that the eUgible list which resulted from the 
last examination for the class is still existing and valid; and 

(2) placement back on the eligible list from which the employee was 
unlawfully appointed, provided that the eligible list still exists and is val- 
id. 

Note: Authority cited: Section 18701, Government Code. Reference: Section 
19257.5, Government Code. 

History 

1. New section filed 1-18-82; effective thirtieth day thereafter (Register 82, No. 
4). 

2. Change without regulatory effect amending opening sentence filed 9-16-92 
pursuant to section 100, title 1, California Code of Regulafions (Register 92, No. 
39). 

§ 266.2. Right to Respond. 

At least fifteen days prior to the date the board plans to take corrective 
action on an unlawful appointment, the executive officer shall notify the 
employee and the employee's appoinung power of the proposed action. 
This notice shall state the reason(s) for the proposed action and notify the 
employee and the appointing power of their right to respond to the notice 
within the fifteen days either verbally or in writing. 



NOTE: Authority cited: Section 18701, Government Code. Reference; Section 
18670, Government Code. 

History 

1. New section filed 1-18-82; effective thirtieth day thereafter (Reeister 82, No. 
4). 

2. Renumbering of former section 60 to section 266.2 filed 4—26-90; operative 
5-26-90 (Register 90. No. 22). 

§ 266.3. Right to Appeal. 

When corrective action is taken on an unlawful appointment, the em- 
ployee and the appointing power may file a written appeal with the board 
within 30 calendar days after the date of notificadon of the board's final 
decision to take the corrective action upon which the appeal is based. 
NOTE: Authority cited: Section 18701, Government Code. Reference: Section 
18670, Government Code. 

History 

1 . New section filed 1-18-82; effective thirtieth day thereafter (Reeister 82, No. 
4). 

2. Renumbering of former secfion 60.1 to section 266.3 filed 4-26-90; operative 
5-26-90 (Register 90, No. 22), 

§ 275. Transferring into State Civil Service. 

When it is necessary for the State of California to assume work pre- 
viously performed by a county, city, federal department or agency or 
public district, the board by resolution shall permit the employees who 
previously performed the work to qualify in state service in their posi- 
tions upon allocation of their positions to an appropriate class in the state 
classification plan and in accordance with standards and procedures es- 
tablished by the executive officer. 

Note: Authority cited: Section 18701, Government Code. Reference: Section 
19050.2, Government Code. 

History 

1 . New section filed 10-18-79; effective thirtieth day thereafter (Register 79, No. 
42). For prior history, see Registers 78, No. 44; 74, No. 36; 74, No. 18; 73. No. 
51; 72, No. 42; 72, No. 32; 72, No. 28; 70, No. 42; 70, No. 27; and 70, No. 23. 

2. Amendment filed 8-28-85; effective thirtieth day thereafter (Register 85, No. 
35). 

3. Change without regulatory effect amending secfion and Note filed 9-16-92 
pursuant to secfion 1 00, tifie 1 , California Code of Regulafions (Register 92, No. 
39). 

§ 276.2. Transferring into State Civil Service. 

NOTE: Reference: Section 18709, Government Code. 

History 

1. New secfion filed 4-14-77; effective thirtieth day thereafter (Register 77, No. 
16). 

2. Repealer filed 1 0-1 8-79; effecU ve thirtieth day thereafter (Register 79, No. 42). 

§ 277. Change in Time Base. 

The following provisions specify when employees are eligible for var- 
ious time base changes without an appointment from an employment list. 
They are not to be construed, by themselves, as entitling employees to 
such changes or as enabling appointing powers to make such changes 
without the employee's consent. These provisions do not extend or 
modify an employee's eligibility to reinstate to a position in a different 
class: 

(a) Increases in time base of part-Ume or intermittent employees to full 
time or movement of intermittent employees to part time are permitted 
when: 

(1) The employee has previously held a permanent or probationary 
status appointment at or above the desired time base in the classification 
to which the appointment is to be made or in the classification that is sub- 
stantially at or above the salary level of that classificadon; or, 

(2) The appointing power can clearly demonstrate that the employee 
has previously been ehgible for an appointment from an employment list 
to the position and time base in question; or, 

(3) For at least two years the employee has held any combination of 
permanent or probationary appointments to the types of classes specified 
in subsection (1) and has worked at least 1920 hours in such appoint- 
ments. 

(b) Time base changes other than those specified in Part (a) of this rule 
are permitted at the discretion of the appointing power. 



Page 24 



Register 2004, No. 21; 5-21-2004 



Title 2 



State Personnel Board 



§ 302.1 



NOTE: Authority cited: Section 19062.5, Government Code. Reference: Sections 
185.50, 18551, 18552 and 1 9065 renumbered 19062.5, Government Code. 

HrSTORY 

1. New section filed 5-9-84; effective thirtieth day thereafter (Recisler 84, No. 
19). 

2. Change without regulatory effect amending subsection (b) and Note filed 
9-16-92 pursuant to section 100, title 1, California Code of Regulations (Regis- 
ter 92, No. 39). 

§ 279.1 . Definition of a Personal Services Contract. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Section 
19130, Government Code. 

History 

1. New section filed 4-17-89; operafive 5-17-89 (Register 89, No. 21). 

2. Change without regulatoiy effect renumbering former section 279.1 to section 
547.59 filed 12-1-99 pursuant to section 100, title 1, California Code of Regu- 
lations (Register 99, No. 49). 

§ 279.2. Undercut of State's Wage in Cost-Savings Based 
Contracts. 

NOTE: Authority cited: section 18701, Government Code. Reference: Section 
19130(a)(2). 

History 

1. New section filed 4-17-89; operafive 5-17-89 (Register 89, No. 21). 

2. Change without regulatory effect amending opening paragraph and subsections 
(b)-(c) filed 9-16-92 pursuant to section 100, title 1, California Code of Regu- 
lafions (Register 92, No. 39). 

3. Change without regulatory effect renumbering former section 279.2 to section 

547.69 filed 12-1-99 pursuant to section 100, title 1, California Code of Regu- 
lations (Register 99, No. 49). 

§ 279.3. Affirmative Action Impact. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Sections 
1 1 135-1 1 139.5, 19130(a)(4), 19130(a)(8), 19790, 19791, 19793 and 19797, Gov- 
ernment Code; and Section 1431, Labor Code. 

History 

1. New section filed 4-17-89; operafive 5-17-89 (Register 89, No. 21). 

2. Change without regulatory effect ainending subsection (b) filed 9-16-92 pur- 
suant to secfion 100, fitle 1, California Code of Regulations (Register 92, No. 
39). 

3. Change without regulatory effect renumbering former section 279.3 to section 

547.70 filed 12-1-99 pursuant to secfion 100, fitle 1, California Code of Regu- 
lations (Register 99, No. 49). 

§ 279.4. Amount of Savings 

NotE: Authority cited: Secfion 18701, Government Code. Reference: Sections 
19130(a)(5) and 19130(a)(6), Government Code. 

History 

1. New section filed 4-17-89; operafive 5-17-89 (Register 89, No. 21). 

2. Change without regulatory effect renumbering former section 279.4 to secfion 

547.71 filed 12-1-99 pursuant to section 100, title 1, California Code of Regu- 
lations (Register 99, No. 49). 



Article 11. Limited Term Appointments 

§ 281 . Acquisition of Permanent Status. 

No time served in a limited-term appointment may count toward ac- 
quiring permanent status in any position. 

NOTE: Authority cited: Secfion 18701, Government Code. Reference: Secfions 
19080.3 and 19083, Government Code. 

History 

1. Amendment filed 4-8-77; effecfive thirtieth day thereafter (Register 77, No. 
15). 

2. Amendment filed 6-10-83; effective thirtieth day thereafter (Register 83, No. 
24). 

§ 282. Termination. 

A limited-term employee may be separated at any time prior to the ex- 
piration of the term for which appointed by advising the employee either 
orally or in writing of the separation; provided, however, a limited-term 
employee may not be separated except for cause, if emergency or tempo- 
rary employees in limited-term positions remain employed in the same 
class and the same layoff subdivision. If separated for cause, the appoint- 
ing power shall give the employee, on or before the date of separation, 



written notice setting forth the reasons therefor. Within 30 days after the 
effective date of separation for cause, a copy of the notice shall be sent 
with the report of separation to the executive officer. The employee has 
no appeal from the action of the appointing power in terminating the limi- 
ted-term employment except on the grounds that teinporary or emergen- 
cy employees remain employed in violation of this section. 

The executive officer shall not again certify for limited-term employ- 
ment in the same class the name of a person who has been separated for 
cause unless, after investigation, it is determined by the executive officer 
that the reason for separation should not bar the person from such further 
employment. 

Cause as used in this rule shall include failure to demonstrate merit, 
efficiency, fitness, and moral responsibility. 
NOTE; Reference: Section 19082, Government Code. 

History 

1. New section filed 1-13-48 (Register 1 1 , No. 2). 

2. Amendment filed 12-8-53; effective thirtieth day thereafter (Register 53, No. 

22). 

3. Amendment of secfion and Note filed 4-8-77; effecfive thirtieth day thereafter 
(Register 77, No. 15). 

4. Change without regulatory effect amending opening paragraph filed 9-16-92 
pursuant to secfion 100, title 1 , California Code of Regulations (Register92, No. 
39). 



Article 12. Emergency Appointments 

For the general statutory provisions on this subject, refer to Section 
19120 of the act and sections following. 

§ 300. General. 

The frequency, length, and circumstances of all emergency appoint- 
ments made pursuant to Government Code Section 1 9888.1 shall be sub- 
ject to the provisions of this article. The authority to make such appoint- 
ments shall be limited to that provided by Sections 302.1, 302.2 and 
302.3. 

NOTE: Authority cited: Secfion 18701, Government Code. Reference: Secfion 
19888.1, Government Code. 

History 

1. New section filed 7-7-82; effective thirtieth day thereafter (Register 82, No. 
28). 

2. Change without regulatory effect amending section filed 9-16-92 pursuant to 
secfion 100, title 1, California Code of Regulafions (Register 92, No. 39). 

§301. Procedure. 

When emergency appointments are made under Government Code 
Section 19888.1, the appointing power shall establish and retain records 
consisting of the name of the appointee, the duties of the position, the rea- 
son for the appointment and such further data as may be required by the 
executive officer for the purpose of ensuring compliance with the provi- 
sions of this article. 

NOTE: Authority cited: Secfion 18701, Government Code. Reference: Section 
19888.1, Government Code. 

History 

1. Amendment filed 1 1-19-57; effecfive thirtieth day thereafter (Register 57, No. 

20). 

2. Amendment of NOTE filed 4-8-77; effective thirtieth day thereafter (Register 
77, No. 15). 

3. Amendment filed 7-7-82; effecfive thirtieth day thereafter (Register 82, No. 

28). 

§ 302. Review of Emergency Appointment. 

NotE: Reference: Secfion 19120, Government Code. 

History 

1. New secfion filed 1 1-19-57; effecfive thirtieth day thereafter (Register 57, No. 
20). 

2. Amendment of NOTE filed 4-8-77; effecfive thirtieth day thereafter (Register 
77, No. 15). 

3. Repealer filed 7-7-82; effecfive thirtieth day thereafter (Register 82, No. 28). 

§ 302.1 . Extreme Emergencies. 

The appointing power, to prevent the stoppage of public business in 
the case of fire, flood or other extreme emergency, may make emergency 



Page 24.1 



Register 2004, No. 21; 5-21 -2004 



§ 302.2 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



appointments subject to the provisions of Government Code Section 
19888. 1 and Sections 301 , 303 and 304. 

NoTE: Authority cited: Section 18701, Government Code. Reference: Section 
19888.1, Government Code. 

History 

1. New section filed 7-7-82; effective thirtieth day thereafter (Register 82, No. 
28). 

2. Change without regulatory effect amending section filed 9-16-92 pursuant to 
section 100, title 1, CaUfornia Code of Regulations (Register 92, No. 39). 

§ 302.2. Appointments for Short-Duration Work. 

Subject to review by the executive officer, llie appointing power may 
employ persons under emergency appointments for up to 30 working 
days for specifically identified work which: 

(a) Because of its unusual urgency, nature, volume, location, duration 
or other special characteristics, is distinct from the range of work normal- 
ly performed by the appointing power's regular staff; and 

(b) Is not expected to be performed within the appointing agency for 
more than 30 working days within any 12-month period. 

If the appointing power or the executive officer determines that the 
type of work performed by employees appointed under this section will 
last for more than 30 working days within any 1 2-month period, any new 
or extended emergency appointments to perform such work shall be sub- 
ject to the provisions of Section 302.3. 



NOTE: Authority cited: Section 18701, Government Code. Reference: Section 
19888.1, Government Code. 

History 

1 . New section filed 7-7-82; effective thirtieth day thereafter (Register 82, No. 
28). 

2. Change without regulatory effect amending subsection (b) filed 9-16-92 pur- 
suant to section 100, title I, California Code of Reeulations (Register 92, No. 
39). 



§ 302.3. Acting Assignments. 

The executive officer may authorize appointing powers to make emer- 
gency appointments on an acting basis to established positions for 20 to 
60 working days when he/she determines that: 

(a) Such appointments are needed to meet a specifically identified and 
reasonable operating need; and 

(b) The identified need could not have been feasibly met through use 
of other civil service or administrative alternatives; and 

(c) When a state employee is to be appointed, that such employee can- 
not effectively meet the identified need without a substantial change in 
duties that would clearly result in the employee working outside the 
scope of his/her current classification. Reassignments that do not sub- 
stantially change the overall nature of an employee's work assignment 
shall not be a basis for an emergency appointment under this section. 



[The next page is 25.] 



Page 24.2 



Register 2004, No. 21; 5-21-2004 



Title 2 



State Personnel Board 



§321 



NOTE: Authority cited: Section 18701, Government Code. Reference: Section 
19888.1, Government Code. 

History 

1. New section filed 7-7-82; effective thirtieth day thereafter (Register 82, No. 
28). 

2. Change without regulatory effect amending subsection (c) filed 9-16-92 pur- 
suant to section 100, title 1, California Code of Regulations (Register 92, No. 
39). 

§ 303. Duration of Employment. 

No person inay serve under an emergency appointment for more than 
60 working days in any 1 2 consecutive calendar montlis. Service under 
Section 302. 1 may be exempted from this limit by the executive officer. 
NOTE: Authority cited: Section 18701, Government Code. Reference: Section 
19888.1, Government Code. 

History 

1. New section filed 1 1-19-57; effective thirtieth day thereafter (Register 57, No. 
20). 

2. Amendment of Note filed 4-8-77; effective thirtieth day thereafter (Register 
77, No. 15). 

3. Amendment filed 7-7-82; effective thirtieth day thereafter (Register 82, No. 
28). 

4. Change without regulatory effect amending section filed 9-16-92 pursuant to 
section 100, title 1, California Code of Regulations (Register 92, No. 39). 

§ 304. Reinstatement After Emergency Appointment. 

Permanent or probationary employees who vacate positions to accept 
emergency appointments shall have a mandatory right of return to their 
former position upon the conclusion of the emergency appointment if: 

(a) The emergency appointment is under the same appointing power 
as the position the employee is vacating; or 

(b) The employee is granted paid or unpaid leave to accept the emer- 
gency appointment. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Section 
19888.1, Government Code. 

History 
]. New section filed 7-7-82; effective thirtieth day thereafter (Register 82, No. 
28). 



Article 13. Reinstatement 

For the general statutory provisions on this subject, refer to Section 
19140 of the act and sections following. 

§ 31 1 . After Resignation. 

NOTE; Authority cited: Secdon 18701, Government Code, Reference: Sections 
19140-19144, Government Code. 

History 
1. Repealer filed 1 1-20-87; operafive 12-20-87 (Register 87, No. 48). 

§313. Demoted Employee. 

History 

1. Amendment filed -15-53; effecdve thirtieth day thereafter (Register 53, No. 
16). 

2. Amendment filed 7-10-56; effective thirtieth day thereafter (Register 56, No, 
13). 

3. Repealer filed 1-8-70 as an emergency; effective upon filing. Certificate of 
Compliance included (Register 70, No. 2). 



Article 14. Probationary Period 

For the general statutory provisions on this subject, refer to Section 
19170 of the act and sections following. 

§ 321 . Extension of Probationary Periods. 

(a) In the event a probationer has not, during a prescribed calendar 
length of the probationary period, worked the hours set forth below, pro- 
bation will automatically be extended until the probationer has worked 
the required number of hours. 

(1) 840 if serving a six months' probationary period; or 

(2) 1260 if serving a nine months' probationary period; or 

(3) 1680 if serving a one year probationary period. 



Vacation, sick leave, military leave or other leave of absence, compen- 
sating time off, suspension or other separations, including separations 
subsequently voided or otherwise set aside, shall not be considered work- 
ing time. 

The board shall be notified of an extension under this section. 

(b) If a probationer has had a continuous period of absence of 60 or 
more working days and upon return from such absence the appointing 
power determines that the remaining portion of the probationary period 
is insufficient to evaluate that probationer's current performance the ap- 
pointing power may extend the probationary period with the approval of 
the executive officer. The length of such extension shall be determined 
by the length of the completed portion of the probationary period at the 
beginning of the probationer's absence as follows: 

(1) If up to one-third of the minimum number of hours required for the 
probationary period was worked, the remainder of the probationary peri- 
od plus the extension shall not exceed the minimum number of hours re- 
quired for the original probationary period. 

(2) If over one-third but not more than two-thirds of the minimum 
number of hours required for completion of the probationary period was 
worked, the remainder of the probationary period plus the extension shall 
not exceed two-thirds of the minimum number of hours required to com- 
plete the original probationary period. 

(3) If over two-thirds of the minimum number of hours required to 
complete the probationary period was worked, the remainder of the pro- 
bationary period plus the extension shall not exceed one-third of the 
minimum number of hours required to complete the original probation- 
ary period. 

(c) The probationary period may be extended for a maximum of five 
working days in order to comply with notice requirements as set forth in 
Section 52.3 for rejection during probation. 

(d) Pursuant to Government Code Section 1 9170, an appointing power 
and an employee, who alleges that he/she has a disability as defined in 
Government Code Section 1 2926, may submit a written agreement for 
approval by the board, that would extend the employee's probationary 
period within his/her existing classification for up to six months to pro- 
vide a reasonable accommodation to the employee as follows: 

(1) The agreement shall describe the period of the extension, begin- 
ning and ending dates, and how the extended probationary period will al- 
low the employee to demonstrate, before the extended probationary peri- 
od ends, the ability to satisfactorily perform the essential functions of the 
position with the reasonable accommodation. The written agreement 
must be received by the board for review prior to the end of the em- 
ployee's probationary period. 

(2) If the employee's probationary period will end during the board's 
review, the board will automatically extend the probationary period until 
a determination is made to approve or disapprove the agreement. This pe- 
riod of time is inclusive of the extension time requested by the depart- 
ment. If the board does not approve the agreement, the board will extend 
the employee's probationary period by an additional ten working days 
from the date of service of the board's determination, to allow the ap- 
pointing power sufficient time to proceed with a rejection during proba- 
tion. This ten working day extension is in addition to that provided under 
subsection (c) above. 

(e) Prior to the completion of the probationary period, the appointing 
power shall notify the employee in writing that the probationary period 
is being extended under this rule and of the length of the extension. Em- 
ployees whose probationary periods are extended under this rule must 
also, over the entire course of their original and extended probationary 
periods, meet the minimum service requirements specified in subsection 
(a) above. The State Personnel Board shall notify the employee and the 
appointing power in writing of its decision to approve or disapprove any 
agreement reached pursuant to subsection (d) above. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Sections 
19170 and 19173, Government Code. 

History 
1 . Amendment of secfion and Note filed 4-8-77; effective thirtieth day thereafter 
(Register 77, No. 15). For prior history, see Register 70, No. 2. 



Page 25 



Register 2003, No. 13; 3-28-2003 



§ 321.5 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



2. Amendment filed 7-28-83; effective thirtieth day thereafter (Register 83, No. 
31). 

3. Change without regulatory effect amending section filed 9-16-92 pursuant to 
section 100, title L California Code of Regulations (Register 92, No. 39). 

4. Amendment of subsection (c) and new subsections (d)-(e) filed 3-24-2003; op- 
erative 3-24-2003 pursuant to Government Code section 11343.4 (Register 
2003, No. 13). 

§ 321.5. Probationary Period of Reappointed, Reinstated, 
Demoted or Transferred Employees. 

History 

1. New section filed 11-7-49 (Register 18, No. 5). 

2. Amendment filed 9-15-53; effective thirtieth day thereafter (Register 53, No. 
16). 

3. Amendment filed 10- 1 1-61 ; effective thirtieth day thereafter (Register 61, No. 
20). 

4. Repealer filed 1-8-70 as an emergency; effective upon filing. Certificate of 
Compliance included (Register 70, No. 2). 

§ 322. Probationary Period Requirements. 

Probationary period requirements for permanent appointments from 
an employment list; or by reinstatement, or by transfer, or by demotion 
are: 

(a) A new probationary period shall be required when an employee en- 
ters or is promoted in the state civil service by permanent appointment 
from an employment list; upon reinstatement after a break in continuity 
of service resulting from a permanent separation; or by reinstatement or 
appointment from a reemployment list, pursuant to Section 548.152 or 
548.153, to a classification with a promotional relationship to the classi- 
fication of the employee's former position. 

(b) An employee who has not attained permanent status when accept- 
ing another appointment shall serve the remainder of that probationary 
period unless required to serve a new probationary period. 

(c) A new probationary period shall be required unless waived by the 
appointing power when an employee is being appointed: 

(1 ) Without a break in service in the same class in which the employee 
has completed the probationary period but under a different appointing 
power. 

(2) Without a break in service to a class with substantially the same or 
lower level of duties and responsibilities and salary range as a class in 
which the employee has completed the probationary period. 

(3) From a general reemployment Ust to the same class in which the 
employee has completed the probationary period but under a different 
appointing power. 

(4) By reinstatement or appointment from a reemployment list, pur- 
suant to Section 548.152 or 548.153, to a classification to which the em- 
ployee could have transferred from his or her former position. 

(d) A new probationary period shall not be required when an employee 
is being appointed: 

(1) From any reemployment list under the same appointing power, ex- 
cept as otherwise provided in this section; 

(2) By reinstatement with a right of return, except as otherwise pro- 
vided in this section; 

(3) Without a break in service under the same appointing power and 
to the same class in which the employee had completed the probationary 
period; or 

(4) By demotion under Government Code Section 19997.8. 
"Without a break in service" as used in this section is continuous ser- 
vice as defined in Section 6.4. 

NoTE: Authority cited: Secfion 19170, Government Code. Reference: Sections 
18527 and 19171, Government Code. 

History 

1. Amendment filed J-8-70 as an emergency; effective upon filing. Certificate of 
Compliance included (Register 70, No. 2). For prior history, see Register 61, 

No, 5. 

2. Amendment of section and Note filed 4-8-77; effective thirtieth day thereafter 
(Register 77, No. 15). 

3. Amendment filed 5-29-84; effecfive thirtieth day thereafter (Register 84, No. 
22). 

4. Change without regulatory effect of subsecfion (d)(4) (Register 87, No. 14). 



5. Change without regulatory effect amending subsecfions (a)(4), (c)(4) and (d)(4) 
filed 9-16-92 pursuant to section 100, fitle 1, California Code of Reeulations 
(Register 92, No. 39). 

§ 323. Performance Appraisal of Probationers. 

NOTE: Authority cited: Secfion 19170, Government Code. Reference: Secfion 
19302, Government Code. 

History 

1. Amendment of section and NOTE filed 4-8-77; effective thirtieth day thereaf- 
ter (Register 77, No. 15). For prior history, see Register 60, No. 24. 

2. Repealer filed 8-28-85; effective thirtieth day thereafter (Register 85, No. 35). 

§ 324. Duty to Reject Probationer. 

If the conduct, capacity, moral responsibility, or integrity of the proba- 
tioner is found to be unsatisfactory, it shall be the duty of the appointing 
power to reject that probationer from the position. 

History 
1. Amendment filed 4-8-77; effective thirtieth day thereafter (Register 77, No. 

15). 

§ 325. Duty to Report Delinquencies. 

If, during the probationary period of any state employee, there is pres- 
ented to the executive officer convincing evidence that the moral con- 
duct, character, or integrity of the employee is unsatisfactory, the execu- 
tive officer shall present such evidence to the appointing power. 

§ 326. Restoration to Eligible List. 

If after investigation the board or the executive officer determines that 
the probationer's name should be restored to the eligible list under Sec- 
tion 19175(b) of the act, the name shall be restored to the eligible hst froin 
which the probationer was certified if such list is still in existence. If the 
probationer's name is restored to the eligible list, it shall be placed there- 
on in accordance with the probationer's score in the examination from 
which such list resulted. 

History 

1. Amendment filed 11-7-49 (Register 18, No. 5). 

2. Repealer of NOTE filed 4-8-77; effecfive thirtieth day thereafter (Register 77, 
No. 15). 

§ 327. Cancellation or Withdrawal of Notice of Rejection. 

The appointing power may cancel or withdraw a notice of rejection of 
a probationer in the following manner and not otherwise: (a) by filing 
with the board on or prior to the thirtieth calendar day after the effective 
date of rejection, a written notice of cancellation or withdrawal setting 
forth the reasons therefor, and (b) by obtaining the concurrence of the ex- 
ecutive officer to such cancellation or withdrawal prior to such filing. 

An employee whose probationary rejection is canceled or withdrawn 
shall, for such time as the executive officer determines is necessary to 
prevent injustice to the employee, be entitled to payment of salary less 
legal offsets, if any, and to credit for seniority, sick leave, vacafion, and 
merit salary adjustment. 

A cancellation or withdrawal of rejection shall be without prejudice to 
further rejection, punitive action, or disciplinary proceedings for the 
same or other reasons. 

NOTE; Reference: Secfion 19175.5, Government Code. 

History 

1 . Originally published 3-22-45 as 123 (Title 2). 

2. Revision filed 4-11-47 (Register 7). 

3. Amendment filed 12-20-49 (Register 18, No. 9). 

4. Amendment of NOTE filed 4-8-77; effective thirtieth day thereafter (Register 
77, No. 15). 



Article 15. Performance Reports 

§ 340. Performance Appraisal. 

NOTE: Authority cited: Section 19300, Government Code. Reference: Secfions 
19301 and 19302, Government Code. 

History 

1 . Amendment of section and NOTE filed 4-8-77; effecfive thirtieth day thereaf- 
ter (Register 77, No. 15). For prior history, see Register 60, No. 24. 

2. Repealer filed 8-28-85; effecfive thirtieth day thereafter (Register 85, No. 35). 



Page 26 



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Title 2 



State Personnel Board 



§346 



• 



§341. Annual Reports. 

History 
1. Repealer filed 10-8-51; effective thirtieth day thereafter (Register 26, No. 1). 

§ 342. Semiannual Reports. 

History 
1. Amendment and renumbering as Section 340 filed 10-8-51; effective thirtieth 
day thereafter (Register 26, No. 1). 

§ 344. Preparation and Scoring. 

History 

1 . Originally published 3-22-45 as § 127 (Title 2). 

2. Revision filed 4-1 1-47 (Register 7). 

3. Amendment filed 4-1-48 (Register 12, No. 1). 



4. Amendment filed 10-8-51 ; effective thirtieth day thereafter(Register 26, No. 
1). 

5. Repealer filed 12-8-60; effective thirtieth day thereafter. Amendment filed 
12-16-60 as an emergency deferring effective date to 4-1-61 (Register 60, No. 

24). 

§ 345. Notice to Employee. 

History 

1. Amendment filed 10-8-51; effective thirtieth day thereafter (Register 26, No. 
1). 

2. Repealer filed 12-8-60; effective thirtieth day thereafter. Amendment deferring 
effective date to 4-1-61 filed 12-16-60 as an emergency (Register 60, No. 24). 

§ 346. Appeals from Performance Report. 

History 

1. New section filed 1-26-45 as § 130 (Register 1). 



• 



[The next page is 27. 



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Register 2003, No. 13; 3-28-2003 



Title 2 



State Personnel Board 



§426 



2. Revision filed 4-1] -47 (Register 7). 

3. Amendment filed 10-26-48 (Register 14, No. 4). 

4. Amendment filed 9-27-55; effective thirtieth day thereafter (Register 55, No. 
15). 

5. Repealer filed 12-8-60; effective thirtieth day thereafter. Amendment defening 
effective date to 4- 1 -61 filed 1 2-1 6-60 as an emergency (Register 60, No. 24). 



Article 18.6. 



Nonindustrial Disability 
Insurance 



Article 16. Absences 



§ 360. Rest Periods. 

History 

1 . New section filed 1 2-17-5 1 ; effective thirtieth day thereafter (Register 26, No. 

7). 

2. Amendment and repealer of NOTE filed 4-8-77; effective thirtieth day thereaf- 
ter (Register 77, No. 1 5). 

3. Repealer of Article 16 (Sections 360, 361, 364. 365, 367-374) filed 8-28-85; 
effective thirtieth day thereafter (Register 85, No. 35). For prior history of Ar- 
ticle 16, including Sections 362, 363 and 366, see Resisters 78, No. 45 and 77, 
No. 15. 



Article 17. Vacations 



§ 381 . Credit for Full-Time Employment. 

NOTE: Authority cited: Section 18050, Government Code. Reference: Sections 
18050, 18538.1, 19143 and 19500, Government Code. 

History 

1 . Amendment filed 1 1-7-69; effecfive thirtieth day thereafter (Register 69, No. 
45). For prior history, see Register 68, No. 49. 

2. Amendment of secfion and NOTE filed 4-8-77; effective thirtieth day thereaf- 
ter (Register 77, No. 15). 

3. Repealer of Article 17 (Sections 381-387) filed 8-28-85; effective thirtieth day 
thereafter (Register 85, No. 35). 



Article 18. Sick Leave 



§401. Definitions. 

History 

1. Amendment filed 1-13-^8 (Register 1 1, No. 2). 

2. Amendment filed 2^4-58; effective thirtieth day thereafter (Register 58, No. 3). 

3. Amendment filed 4-8-77; effective thirtieth day thereafter (Register 77, No. 
15). 

4. Repealer of Article 18 (Sections 401-404, 406, 407 and 409) filed 8-28-85: ef- 
fective thirtieth day thereafter (Register 85, No. 35). For prior history of Article 
18, including Sections 405 and 408, see Registers 77, No. 34 and 77, No. 15. 



Article 18.5. Industrial Disability Leave 

For the general statutory provisions on this subject, refer to Sections 
19815.4(d) through 19877. 

§ 417.3. Medical Officer's Responsibilities. 

Where there is disagreement conceining the medical suitability of 
placement of the disabled employee who has coinpleted the vocational 
rehabilitation program, the State Personnel Board Medical Officer shall 
determine the appropriateness of the placement based upon the medical 
evidence submitted. 

History 

1. Amendment filed 4-8-77; effecfive thirtieth day thereafter (Register 77, No. 
15). 

2. Repealer of Sections 410, 410.1, 410.2, 41 1^17, 417.1, 417.2 and 418 filed 
5-15-86 as a change without regulatory effect pursuant to Title I, California 
Administrative Code, Section 1 00(b)(2); effective thirtieth day thereafter (Reg- 
ister 86, No. 20). For prior history, see Registers 84, No. 1 5; 77, Nos. 34 and 15; 
76, Nos. 42 and 9; 75, Nos. 44 and 24; and 74, No. 52. 



For general statutory provisions on the subject, refer to Government 
Code Sections 18135-18142. 

NOTE; Authority cited: Section 18701, Government Code. Reference: Sections 
18135 and 18135.5, Government Code. 

History 

1. New Article 18.6 (Secfions 419, 419.1, 420, 421, 422, and 423) filed 9-24-76 
as an emergency; designated effecfive 10-1-76 (Register 76, No. 39). 

2. Certificate of Compliance filed 1-25-77 (Register 77, No. 5). 

3. Amendment and repealer of NOTE filed 4-8-77; effecfive thirtieth day thereaf- 
ter (Register 77, No. 15). 

4. Amendment filed 1 1-3-78; effecfive thirtieth day thereafter (Register 78, No. 

44). 

5. Amendment filed 12-7-78; effective thirtieth day thereafter (Register 78, No. 
49). 

6. Amendment filed 1 -9-80 as an emergency; effecfive upon filing. Certificate of 
Compliance included (Register 80, No. 2). 

7. Editorial reprinting of text deleted in error in Register 84, Nos. 8 and 1 2 (Regis- 
ter 84, No. 15). 

8. Repealer of Article 18.6 (Secfions 419-423) filed 5-1 5-86 as a change without 
regulatory effect pursuant to Title 1, California Administrafive Code, Section 
100(b)(2); effecfive thirtieth day thereafter (Register 86, No. 20). 



Article 19. Transfer 

For the general statutory provisions on this subject, refer to Sections 
19050.2 - 19050.9 of the act. 

§ 425. To Another Agency. 

A transfer of an employee from a position under one appointing power 
to a position under another appointing power may be made, if the transfer 
is to a position in the same class or in another class with substantially the 
same salary range and designated as appropriate by the executive officer. 
The effective date of such transfer shall be no later than 30 calendar days 
after receipt of a written request from the agency requesting the em- 
ployee's service to the appointing power by whom the employee is 
employed, unless an earlier or later date of transfer is agreeable to both 
appointing powers. No other type of transaction which has the same gen- 
eral effect as a transfer, such as reinstatement following resignation, shall 
be used to circumvent the above provisions. 
NoTE: Reference: Secfion 19050.4, Government Code. 

History 

1. Amendment filed 3-26-68; effecfive thirtieth day thereafter (Register 68, No. 
13). 

2. Amendment of NOTE filed 4-8-77; effective thirtieth day thereafter (Register 
77, No. 15). 

3. Change without regulatory effect of NOTE filed 12-21-88 (Register 89, No. 1). 

§ 426. Temporary Assignments or Loans. 

Temporary assignments or loans of employees in accordance with 
Section 1 9050. 8 of the Government Code may be made with the approval 
of the executive officer, provided that such assignments shall be docu- 
mented by a written statement containing the following information: 

(a) The duration and duties of the assignment. 

(b) Certification that a layoff by reason of such assignment or loan will 
not become necessary in the appointing agency. 

(c) If the assignment is for training and development purposes, a de- 
scription of the training to be accomplished. 

(d) If the temporary assignment is for compelling management need 
purposes, a description of the management need and the staff expertise 
required; justification that the agency's needs cannot be met through the 
existing organizational structure; certification that the employee pos- 
sesses the required expertise; and certification that the employee has vol- 
untarily consented to the assignment. 

(e) If the temporary assignment is to facilitate the return of an injured 
employee to work, justificadon of the need of such an assignment and 
medical verification of the employee's condition. 



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Any participating agency or employee may terminate the assignment 
at any time for any reason or the executive officer may terminate it if it 
is being carried on contrary to or in a manner inconsistent with the Gov- 
ernment Code or these regulations. An employee participating in such an 
arrangement shall be considered for all purposes of the Government 
Code and regulations as an employee of the agency from which loaned 
or assigned except that the employee's salary may be paid in any proper 
manner agreed upon by the participating agencies. 

The board shall be notified upon termination of any temporary assign- 
ment. 

NOTE: Authority cited: Section 19050.8, Govemmenl Code. Reference: Section 
19050.8, Government Code. 

History 

1 . New section filed 1 1-7-49 (Register 18, No. 5). 

2. Amendment filed ll-16-70;effective thirtieth day thereafter (Register 70. No. 

47). 

3. Amendment of section and Note filed 4-8-77; effective thirtieth day thereafter 
(Register 77, No. 15). 

4. Amendment filed 7-14-86; effective thirtieth day thereafter (Register 86, No. 

29). 

5. Change withoutregulatory effect of first parasraph filed 12-2 1-88 (Register 89, 
No. 1). 

6. Change without regulatory effect amending subsection (e) filed 9-16-92 pur- 
suant to section 100, title 1, California Code of Regulafions (Register 92, No. 
39). 

§ 427. Interjurisdictional Employee Exchange. 

A state appointing power may with the concurrence of an employee 
assign or loan the employee to another jurisdiction, or may receive an em- 
ployee from another jurisdiction, in accordance with Government Code 
Section 19050.8, except as otherwise provided by law, provided that the 
following conditions are met: 

(a) The state appointing power determines that the assignment or loan 
is of benefit to the state and is for either training purposes or for compel- 
ling management need purposes as specified in Section 442. 

(b) The other jurisdiction is governmental in character. It may be fed- 
eral, state, or local, including other countries, public colleges and univer- 
sities, and other instrumentalities, and may be in or outside of California. 

(c) No layoff of state personnel is necessary. 

(d) Both appointing authorities approve a written document contain- 
ing, as a minimum, a statement that the assignment or loan is subject to 
this rule, the period and duties and conditions of the assignment or loan, 
the training or compelling management need to be accomplished, and 
provision for either continuing or substituting alternatives for all rights 
and benefits to which the employee of the agency or jurisdiction is other- 
wise entitled. 

(e) Any necessary authorizations for funds or travel are obtained from 
the Departments of Finance, General Services, or other appropriate au- 
thority. 

Employees from other jurisdictions gain no status in the California 
state service through such temporary assignments or loans. 

For the purposes of administering the state civil service laws and regu- 
lations, a state employee participating in such an arrangement shall be 
considered an employee of the state agency from which loaned or as- 
signed, except the employee's work and activities shall be subject to the 
direction of the jurisdiction to which loaned or assigned. 

Either appointing authority or the employee may terminate the assign- 
ment at any time for any reason or the executive officer may terminate 
it if it is being carried on contrary to or in a manner inconsistent with the 
Government Code or these regulations. The employee's salary and bene- 
fits may be paid in any proper manner agreed upon by the appointing au- 
thorities of the participating agency and jurisdiction. 
NOTE: Authority cited: Section 19050.8, Government Code. Reference: Section 
19050.8, Government Code. 

History 

1. New section filed 11-6-70 as an emergency; designated effective 11-23-70. 
Certificate of Compliance included (Register 70, No. 45). 

2. Amendment of section and Note filed 4-8-77; effective thirtieth day thereafter 
(Register 77, No. 15). 



3. Amendment filed 7-14-86; effective thirtieth day thereafter (Reaister 86, No. 
29). 

4. Change without regulatory effect of first paragraph filed 12-21-88 (Register 89, 
No. 1). 

5. Change without regulatory effect amending subsections (a) and (e) filed 
9-1 6-92 pursuant to secfion 1 00, title 1 , California Code of Regulations (Reeis- 
ter 92, No. 39). 



§ 430. General. 

Classes meeting the criteria established by this article shall be consid- 
ered to involve substantially the same level of duties, responsibility and 
salary for the purposes of Government Code Section 19050.4; provided 
that the board or the executive officer may prohibit transfer between such 
classes based on a specific finding that they are in a promotional relation- 
ship. 

The board or executive officer may also prohibit transfers from classes 
that have been specifically established for limited duration positions. 
NOTE: Authority cited: Section 18701, Government Code. Reference: Secfion 
19050.4, Government Code. 

History 

1 . New section filed 1-6-83; effecfive thirtieth day thereafter (Register 83, No. 2). 

2. Change without regulatory effect filed 12-21-88 (Register 89, No. 1). 

3. Change without regulatory effect amending section and Note filed 9-16-92 
pursuant to section 1 00, title 1 , California Code of Regulations (Reaister 92, No. 
39). 

§ 431. Salary and Class Level Comparisons. 

(a) The following definitions shall apply to salary and class level com- 
parisons made under this chapter: 

(1) "Substantially the same salary range or salary level" means the 
maximum rate of the salary range of one class is less than two steps higher 
than or is the same as the maximum rate of the salary range of another 
class. 

(2) "Promotional salary relationship, range or level" means the maxi- 
mum rate of the salary range of one class is at least two steps higher than 
the maximum rate of the salary range of another class. 

(3) "Salary range" means the range of rates between, and including, 
the minimum and maximum rate currently authorized for the class. 

(4) "Rate," for employees compensated on a monthly basis, means any 
one of the full dollar amounts found within the salary ranges established 
by the Department of Personnel Administration and, for employees com- 
pensated on a daily or hourly basis, means any one of the dollar and cents 
amounts found within the salary range. 

(5) Unless otherwise provided by resolution of the board, "step," for 
employees compensated on a monthly basis, means a five percent differ- 
ential above or below a salary rate, rounded to the nearest dollar and, for 
employees compensated on a daily or hourly basis, means a five percent 
differential above or below a rate rounded to the nearest dollar and cents 
amount. 

(A) Pursuant to (5), one step higher is calculated by multiplying the 
rate by 1.05. One step lower is calculated by dividing the rate by 1.05 
(e.g., $2,300 x 1.05 = $2,415, one step higher; 2,300 - 1.05 = 2,190 one 
step lower). 

(B) Pursuant to (1) and (2), two steps higher is calculated by multiply- 
ingtherateby 1.05 and then multiplying the product by 1.05 (e.g., $2,300 
X 1.05 = $2,415 x 1.05 = $2,536, two steps higher). 

(b) Unless otherwise provided by resolution of the board, the maxi- 
mum rate of the lowest salary range currently authorized for a class is 
used to make salary comparisons for the purposes of this chapter. 
NOTE: Authority cited: Secfion 18701, Government Code. Reference: Sections 
18807 and 190504, Government Code. 

History 

1. New section filed 1-6-83; effective thirtieth day thereafter (Register 83, No. 2). 

2. Relettering and amendment of former subsecfions (a)-(c) to new subsecfions (a) 
and (b), and repealer of Schedules A and B filed 3-8-89; operative 3-8-89 
(Register 89, No. 11). 

3. Change without regulatory effect of subsection (a)(3) filed 6-29-89 (Register 
89, No. 27). 



• 



Page 28 



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Title 2 



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§434 



4. Change without regulatory effect amending Note filed 9-16-92 pursuant to 
section 100, title 1. Califomia Code of Regulations (Register 92, No. 39). 

§ 432. Class Series. 

For the purpose of this article, a class series is any vertically related 
group of classes, covering the same occupational specialty and saine pro- 
gram area, which constitute a primary promotional pattern for a specifi- 
cally identifiable group of employees. 

Note. Authority cited; Section 18701, Government Code. Reference: Section 
19050.4, Government Code. 

History 

1. New section filed 1-6-83; effective thirtieth day thereafter (Register 83, No. 2). 

2. Change without regulatory effect of Note filed 12-21-88 (Register 89, No. 1). 

3. Change without regulatory effect amending Note filed 9-16-92 pursuant to 
section 100, title 1, Califomia Code of Regulations (Register 92, No. 39). 

§ 433. Voluntary Transfers Between Classes. 

Unless specifically prohibited pursuant to Section 430 or the provi- 
sions of 433.1, appointing powers may allow employees to voluntarily 
transfer between classes when the employee possesses any licenses, cer- 
tificates, or registration required in the "to" class provided that either: 

(a) The salary range of the "to" class is exactly the same or any amount 
lower than that of the "from" class. 

Or 

(b) The salary range of the "to" class is any amount higher than that 
of the "from" class, provided that: 

(1) It is not a promotional salary range; and 

(2) The two classes are in different class series unless the board specifi- 
cally provides for transfer within a series; and 

(3) There is no class in the "to" series that is exactly the same in salary 
as the "from" class; and 

(4) The "to" class is the class in its series that is immediately higher 
in pay than the "from" class; and 

(5) The transfer does not preclude a future transfer that is part of the 
established upward mobility pattern through which the employee is mov- 
ing; and 

(6) The two classes do not contain positions that have a supervisory- 
subordinate relationship under the appointing power making the transfer. 

In applying these criteria, separate salary ranges within a class shall be 
treated as if they were separate classes when a board resolution allows 
salary ranges other than the lowest range for the class to be used for salary 
comparison purposes. 

NOTE; Authority cited: Section 18701, Government Code. Reference: Section 
19050.4, Government Code. 

History 

1 . New section filed 1-6-83; effective thirtieth day thereafter (Register 83, No. 2). 

2. Change without regulatory effect of Note filed 12-21-88 (Register 89, No. 1 ). 

3. Change without regulatory effect amending opening paragraph and Note filed 
9-16-92 pursuant to section 100, title 1, California Code of Regulations (Regis- 
ter 92, No. 39). 

4. Amendment of first paragraph filed 2-5-2002; operative 2-5-2002. Submitted 
to OAL for printing only pursuant to Government Code section 1 8213 (Register 
2002, No. 12). 

§ 433.1 . Voluntary Transfers Between 

Classes — Bargaining Unit 10 Employees. 

Unless specifically prohibited pursuant to Section 430, appointing 
powers may allow employees to voluntarily transfer between classes 
when the employee possesses any licenses, certificates, or registration re- 
quired in the "to" class provided that either: 

(a) The salary range of the "to" class is exactly the same or any amount 
lower than that of the "from" class; and, for any class assigned to State 
Bargaining Unit 10, excluding the following listed classes, the employee 
shall meet the minimum education requirement as identified in the re- 
spective class specification: Energy Analyst, Energy Resources Special- 
ist I and II; Hazardous Materials Specialist, Associate Hazardous Materi- 
als Specialist and Senior Hazardous Materials Specialist (Technical); 
Associate Energy Specialist (Efficiency) and Energy Commission Spe- 
cialist I, II, and III (Efficiency); Associate Energy Specialist (Forecast- 
ing) and Energy Commission Specialist I, II, and III (Forecasfing); 



Associate Energy Specialist (Technology Evaluation and Development) 
and Energy Commission Specialist I, II, and III (Technology Evaluation 
and Development); Assistant and Associate Geologist and Senior Geolo- 
gist (Specialist); Associate Geophysicist; Health and Safety Program 
Specialist I, II, and III; Assistant and Associate Meteorologist; Senior 
Meteorologist, Water Resources; Microbiologist Intern; Petroleum 
Geologist; Integrated Waste Management Specialist and Senior Inte- 
grated Waste Management Specialist; and Pest Prevention Assistant I, II, 
and III (Various Projects). 

Or 
(b) The salary range of the "to" class is any amount higher than that 
of the "from" class, provided that: 

(1) It is not a promotional salary range; and 

(2) The two classes are in different class series unless the board specifi- 
cally provides for transfer within a series; and 

(3) There is no class in the "to" series that is exactly the same in salary 
as the "from" class; and 

(4) The "to" class is the class in its series that is immediately higher 
in pay than the "from" class; and 

(5) The transfer does not preclude a future transfer that is part of the 
established upward mobility pattern through which the employee is mov- 
ing; and 

(6) The two classes do not contain positions that have a supervisory- 
subordinate relationship under the appointing power making the transfer; 
and 

(7) For any class assigned to State Bargaining Unit 10, excluding the 
following listed classes, the employee shall meet the minimum educafion 
requirement as identified in the respective class specification: Energy 
Analyst, Energy Resources Specialist I and II; Hazardous Materials Spe- 
cialist, Associate Hazardous Materials Specialist and Senior Hazardous 
Materials Specialist (Technical); Associate Energy Specialist (Efficien- 
cy) and Energy Commission Specialist 1, II, and III (Efficiency); 
Associate Energy Specialist (Forecasting) and Energy Commission Spe- 
cialist I, II, and III (Forecasting); Associate Energy Specialist (Technolo- 
gy Evaluation and Development) and Energy Commission Specialist I, 
II, and III (Technology Evaluafion and Development); Assistant and 
Associate Geologist and Senior Geologist (Specialist); Associate Geo- 
physicist; Health and Safety Program Specialist I, II, and III; Assistant 
and Associate Meteorologist; Senior Meteorologist, Water Resources; 
Microbiologist Intern; Petroleum Geologist; Integrated Waste Manage- 
ment Specialist and Senior Integrated Waste Management Specialist; 
and Pest Prevention Assistant I, II, and III (Various Projects). 

In applying these criteria, separate salary ranges within a class shall be 
treated as if they were separate classes when a board resolution allows 
salary ranges other than the lowest range for the class to be used for salary 
comparison purposes. 

Note; Authority cited: Sections 18211, 18213 and 18701, Government Code. 
Reference: Section 19050.4, Government Code. 

History 

1. New section filed 2-5-2002; operative 5-7-2002. Submitted to OAL for print- 
ing only pursuant to Government Code section 18213 (Register 2002, No. 12). 

2. Editorial correction amending operative date in History 1 (Register 2002, No. 

25). 

3. Amendment of subsections (a) and (b)(7) and Note filed 5-24-2006; operative 
5-24-2006. Submitted to OAL for printing only pursuant to Government Code 
section 18213 (Register 2006, No. 21). 

§ 434. Involuntary Transfer Between Classes. 

When the transfer between classes is not voluntary on the part of the 
employee, the class to which the employee is transferred must have prior 
executive officer approval. 

NoTE: Authority cited: Section 18701, Government Code. Reference: Section 
19050.4, Government Code. 

History 

1 . New section filed 10-19-82; effective thirtieth day thereafter (Register 82, No. 

43). 

2. Change without regulatory effect of Note filed 12-21-88 (Register 89, No. 1). 

3. Editorial correction of History 2 (Register 95, No. 5). 



Page 29 



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§435 



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Title 2 



§ 435. Consecutive Transfer. 

Consecutive transfers shall not be permitted when their combined re- 
sult would be inconsistent with the provisions of this article or Govern- 
ment Code Section 19050.4. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Section 
19050.4, Government Code. 

History 

1 . New section filed 10-19-82; effective thirtieth day thereafter (Register 82, No. 
43). 

2. Change without regulatory effect filed 12-21-88 (Register 89, No. 1). 

3. Change without regulatory effect amending section filed 9-16-92 pursuant to 
section 100. title 1, California Code of Regulations (Register 92, No. 39). 

§ 438. Temporary Assignments for Training and 
Development. 

(a) Eligibility for training and development assignments shall be lim- 
ited to: 

(1) employees who have permanent status in their present class; or 

(2) employees who have probationary status and who previously have 
had permanent status and who, since such permanent status, have had no 
break in service due to a permanent separation. 

(b) Employees shall be allowed to accept training and development as- 
signments involving the duties of a different class only as outlined below 
under (1), (2), or (3): 

( 1 ) The training and development class is a class with substantially the 
same salary to which the employee could voluntarily transfer under the 
provisions of this article. 

(2) The training and development class has a promotional salary range 
provided that: 

(A) The higher salaried class is the class in the desired occupational 
area nearest in salary to the employee's current class that will provide an 
appropriate training experience; and 

(B) When the training and development class is more than three steps 
higher than the employee's current class, the intent of the training and de- 
velopment assignment is to prepare the employee for a permanent move 
to the training and development class or to a closely related class, and the 
employee will meet minimum qualifications for the higher salaried class 
by the conclusion of the training and development assignment; and 

(C) The training and development class is not in the same class series 
as the employee's present class. 

(3) The training and development class has a demotional salary range 
provided that: 

(A) It is the class in the desired occupational area nearest in salary to 
the employee's current class that will provide the appropriate training ex- 
perience; and 

(B) Any assignments to classes that are more than three steps lower 
than the employee's status class are approved in advance by the execu- 
tive officer; and 

(C) The purpose of the training and development assignment is to pre- 
pare for future service in a class that has a salary range that is substantially 
the same or promotional in comparison to the salary range of the em- 
ployee's current classification. 

(D) The assignment will provide experience that differs from the du- 
ties that the employee has previously performed. 

NOTE: Authority cited: Section 19050.8, Government Code. Reference: Section 
19050.8, Government Code. 

History 

1 . New section filed 1-6-83; effective thirtieth day thereafter (Register 83, No. 2). 

2. Change without regulatory effect of Note filed 12-21-88 (Register 89, No. 1). 

3. Amendment of section heading, new subsection (a), relettering and amendment 
of new subsection (b) and redesignating all following paragraphs filed 
11-20-9]; operative 12-20-91 (Register 92, No. 8). 

§ 439. Status Requirement. 

NOTE: Authority cited: Section 19050.8, Government Code. Reference: Section 
19050.8, Government Code. 

History 
1. New section filed 5-23-83; effective upon filing pursuant to Government Code 
section 1 1346.2(d) (Register 83, No. 22). 



2. Amendment filed 7-14-86; effective thirtieth day thereafter (Register 86, No. 
29). 

3. Chanee without regulatory effect of subsection (a) filed 12-21-88 (Register 89, 
No. 1). 

4. Repealer filed 1 1-20-91; operative 12-20-91 (Register 92, No. 8). 

§ 440. Promotions. 

Employees may be proinoted during a training and development as- 
signment provided that: 

(a) There is a vacant position to which the employee could be pro- 
moted if the employee were not on the training and development assign- 
ment; and 

(b) The appointing power certifies that the employee would have been 
its first preference for appointment to the vacancy if he/she had not been 
on the training and development assignment; and 

(c) No more than one person on a training and development assign- 
ment is promoted for each available vacancy; and 

(d) The promotion will not result in a layoff at the termination of the 
training and development assignment. 

The promotion and training and development assignment may be si- 
multaneous provided that conditions of (a) through (d) above are met. 
NOTE: Authority cited: Section 19050.8, Government Code. Reference: Section 
19050.8, Government Code. 

History 

1. New section filed 5-23-83; effective upon filing pursuant to Government Code 
Section 1 1346.2(d) (Register 83, No. 22). 

2. Change without regulatory effect of NOTE filed 1 2-21-88 (Register 89, No. 1). 

§ 441 . Consecutive Temporary Assignments. 

Prior executive officer approval shall be required for any temporary 
assignment as defined in Government Code Section 19050.8 that results 
in an employee spending more than 24 months of any 36-month period 
on such temporary assignments. Such assignments shall not be approved 
when the executive officer determines that they constitute a continuation 
of the employee's previous temporary assignment. 
NOTE: Authority cited: Section 19050.8, Government Code. Reference: Section 
19050.8, Government Code. 

History 

1. New section filed 5-23-83; effecfive upon filing pursuant to Government Code 
Section 1 1346.2(d) (Register 83, No. 22). 

2. Amendment filed 7-14-86; effective thirtieth day thereafter (Reeister 86, No. 
29). 

3. Change without regulatory effect filed 12-21-88 (Register 89, No. 1). 

§ 442. Temporary Assignment to Meet Compelling 
Management Needs. 

(a) Eligibility for compelling management needs assignments shall be 
limited to: 

(1) employees who have permanent status in their present class; or 

(2) employees who previously have had permanent status and who, 
since such permanent status, have had no break in service due to a perma- 
nent separation. 

(b) Subject to the approval of the executive officer, the appointing 
power may make temporary assignments pursuant to Government Code 
Section 19050.8 to meet program or departmental needs of limited dura- 
tion that have a broad and significant impact on departmental operations 
and efficiency. Such needs must be urgent and nonrecurring and may in- 
volve either: 

(1) Special projects or assignments that require a breadth and depth of 
demonstrated expertise or a level or response that cannot be obtained un- 
der normal staffing procedures; or 

(2) Staffing situations that require temporary reassignments to prevent 
or alleviate a negative impact upon departmental operations and efficien- 
cy. 

(c) Temporary assignments shall not be made or continued under this 
section where there is a reasonable basis for utilizing or pursuing other 
personnel management options, such as transfer, list appointment, classi- 
fication plan changes, adverse action, layoff, probationary rejection, or 
medical termination. Other staff shall not be laid off, demoted, or similar- 



Page 30 



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§443 



ly displaced as a result of temporary assignments made under this sec- 
tion. 

(d) Employees placed on temporary assignments to meet a compelling 
management need shall remain in their current classifications for all pur- 
poses of the Act and these regulations. The duties and responsibilities of 
the position associated with the compelling management need may vary 
from those of the employee's appointment classification. Such assign- 
ments may only be made with the voluntary consent of the employee. 

(e) An employee in a Career Executive Assignment may be placed in 
a temporary assignment to meet a compelling management need in ac- 
cordance with the provisions of this section so long as such reassignment 
does not generate the need for an additional appointment to the Career 
Executive Assignment position. Prior executive officer approval shall be 
required. 

(f) Either the employee or the appointing power may terminate the 
temporary assignment at any time for any reason, or the executive officer 
may terminate it, if it is determined to be inconsistent with the Govem- 
ment Code or board regulations. 

(g) Witliin 30 days of approving any assignment under this section, the 
appointing power shall provide written notification of such assignment 
to the Department of Personnel Administration. 

NOTE: Authority cited; Section 19050.8, Government Code. Reference: Section 
19050.8, Government Code. 

History 

1. New section filed 7-14-86; effective thirtieth day thereafter (Register 86, No. 
29). 

2. Change without regulatory effect of subsection (a) filed 12-21-88 (Register 89, 
No. 1). 

3. New subsection (a) and relettering of following paragraphs filed 1 1-20-91 ; op- 
erative 12-20-91 (Register 92, No. 8). 

4. Change without regulatory effect amending subsections (c)-(g) filed 9-16-92 
pursuant to section 100. title 1 , California Code of Regulations (Register 92, No. 
39). 

§ 443. Temporary Assignments for Injured Employees. 

(a) Eligibility for returning injured employees to work assignments 
shall be limited to: 



(1) employees who have permanent or probationary status in their 
present class; or 

(2) employees who previously have had permanent or probationary 
status and who, since having had such status, have had no break in service 
due to a permanent separation. 

(b) This section specifies when injured employees may receive tempo- 
rary assigniTients involving duties of a class other than the one to which 
they are appointed. Temporary assignments involving duties that fall 
within the employee's appointment class may be made without respect 
to this section. 

(c) For the purpose of Government Code Section 19050.8(c) an "in- 
jured" employee is an eligible employee with a medically verified dis- 
ability, injury, or illness, whether job or nonjob related, that requires the 
employee to be reassigned to duties outside his/her current classification 
in order to remain productive. 

(d) Eligibility for temporary assignments shall be limited to injured 
employees who, based on medical opinion, are unable to perform the es- 
sential duties of their current classification. 

(e) When the employee and appointing power agree, an injured and el- 
igible employee, including a career executive, may be placed in a tempo- 
rarily modified work assignment involving duties not within the em- 
ployee's current class for up to two years provided that: 

(1) Such assignments shall not involve the duties of a class that has a 
promotional relationship to the employee's appointment class; and 

(2) The assignments may involve the duties of a class that has ademo- 
tional relationship to the employee's appointment class only to the extent 
that such a demotional assignment is required in order to provide a pro- 
ductive work assignment that is within the employee's capability; and 

(3) Such assignments for career executive employees require prior ap- 
proval by the executive officer. 

(4) Such assignments for career executive employees do not generate 
the need for an additional appointment to the Career Executive Assign- 
ment position. 



[The next page is 31.] 



Page 30.1 



Register 2006, No. 21; 5-26-2006 



Title 2 



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§448 



(f) A probationary employee who is placed on a temporary assignment 
as defined in Government Code Section 19050.8(c) shall be considered 
temporarily absent from his/her appointment classification, and shall be 
subject to the probationary period extension provisions of Section 321. 

(g) Either the employee or the appointing power may terminate the 
temporary assignment at any time for any reason, or the executive officer 
may terminate it, if it is determined to be inconsistent with the Govern- 
ment Code or board regulations. 

NOTE; Authority cited: Section 19050.8, Government Code. Reference: Section 
19030.8, Government Code. 

History 

1. New section filed 7-14-86; effective thirtieth day thereafter (Register 86, No. 
29). 

2. Change without regulatory effect of subsections (b) and (e) filed 12-21-88 
(Register 89, No. 1). 

3. New subsection (a) and relettering of following subsections including amend- 
ment to subsection (c) filed 1 1-20-91; operative 12-20-91 (Register 92, No. 
8). 

4. Change without regulatory effect amending subsections (b), (f) and (g) tiled 
9-16-92 pursuant to section 100, title 1, California Code of Regulations (Regis- 
ter 92, No. 39). 

§ 444. Publication and Screening. 

(a) Unless exempted under subsection (b), all transfers and training 
and development assignments that result in an employee moving to a po- 
sition that is covered by an affirmative action or upward mobility goal 
established pursuant to Government Code Sections 19232, 19402, or 
19790 shall be subject to the following posting and screening require- 
ments. 

(1) Advance notice of the opportunity for such movement shall be 
posted for at least seven days at the worksites of eligible departmental 
employees. Posting may be limited to geographic areas within which em- 
ployees could reasonably be expected to accept the opportunity without 
a change of residence. The executive officer may specify a broader area 
of notice consistent with recruitment patterns for the class when she/he 
determines that an adequate affirmative action candidate group does not 
exist within the area specified above. 

Alternatives to this posting process may be allowed when the execu- 
tive officer finds that such alternatives are at least as effective as the pre- 
scribed process in meeting established affirmative action and upward 
mobility goals. 

(2) The advance notice shall describe the opportunity and its duration 
and location and shall state that the opportunity is being offered consis- 
tent with State laws and Executive Orders ensuring equal opportunity for 
employment regardless of an applicant's sex, race, religion, ancestry, 
disability, age, or sexual orientation. 

(3) All applicants must be considered based on published standards 
and criteria that have been made available to them during the application 
filing period. The consideration may consist of an application evaluation, 
oral interview, or similar civil service selection techniques. 

(4) All applicants shall be informed of the results of the screening pro- 
cess. When the results will be used to select employees for future vacan- 
cies or training opportunities, the applicants shall be informed of their eli- 
gibility for such future selection. 

(b) Transfers and training and development assignments shall be ex- 
empt from the requirements specified in section (a) when they: 

(1) Involve movement of an employee between positions that are with- 
in the same classification and appointing power. 

(2) Are intended to remedy a particular employee's performance defi- 
ciency that has been identified through the performance evaluation pro- 
cess conducted pursuant to Government Code Sections 19172 or 
19992.2; or 

(3) Provide a modified work assignment that is necessary to continue 
the employment of an injured or disabled employee; or 

(4) Involve movement of an employee between positions under the 
same appointing power that fall within the same occupational and level 
category for affirmative action and upward mobility goal-setting pur- 
poses; or 



(5) Are necessary to avoid the need to layoff or demote an employee, 
or involuntarily transfer an employee to another classification or to 
another geographic location that would require an employee to change 
his or her place of residence; or 

(6) Are needed to continue the employment of an individual hired 
through the Career Opportunity Development Program established by 
the Welfare Reform Act of 1971 . 

NOTE: Authority cited: Sections 18701, 19792 and 19050.3, Government Code. 
Reference: Sections 19233, 19406 and 19792, Government Code. 

History 

1. New section filed 9-12-83; effective thirtieth day thereafter (Register 83, No. 
38). 

2. Change without regulatoiy effect of Note filed 12-21-88 (Register 89, No. 1). 

3. Change without regulatory effect amending subsections (a)-(a)(l) filed 
9-16-92 pursuant to section 100, title 1, California Code of Regulations (Regis- 
ter 92, No. 39). 



Article 20. Separations from Service 

For the general statutory provisions on this subject, refer to Secfion 
19500 of the act and sections following. 

§ 445. Resignation from State Service. 

History 

1. Amendment filed 4-8-77; effective thirtieth day thereafter (Register 77, No. 
15). 

2. Repealer filed 5-1 5-86 as a change without regulatory effect pursuant to Title 
1, Cahfomia Administrative Code, Section 100(b)(2); effective thirtieth day 
thereafter (Register 86, No. 20). 

§ 446. Temporary and Permanent Separations. 

Temporary separafions from state service shall include all types of 
leave of absence including leave under Section 599.785, military leave, 
suspension, termination for medical reasons, termination of permanent 
or probationary employee by layoff, termination by displacement, and 
disability retirement. Permanent separations from state service shall in- 
clude dismissal; resignation; automatic resignation (AWOL); rejection 
during probationary period; termination for failure to meet conditions of 
employment; termination of limited-term, temporary authorization, 
emergency, Career Executive Assignment, or exempt appointment; and 
service retirement. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Section 
19996, Government Code. 

History 

1 . New section filed 1 1-27-68; effective thirtieth day thereafter (Register 68, No. 
45). 

2. Amendment of Note filed 4-8-77; effective thirtieth day thereafter (Register 
77, No. 15). 

3. Editorial reprinting of text deleted in error in Register 84, Nos. 8 and 12 (Regis- 
ter 84, No. 15). 

4. Amendment filed 8-28-8^ effecfive thirtieth day thereafter (Register 85, No. 
35). 

5. Change without regulatory effect amending section filed 9-16-92 pursuant to 
section 100, title 1, California Code of Regulations (Register 92, No. 39). 

§ 447. Continuity of Intermittent Employment. 

NOTE: Reference: Section 19100, Government Code. 

History 

1. New section filed 5-15-73; effective thirtieth day thereafter (Register 73, No. 
20). 

2. Repealer filed 5-15-86 as a change without regulatory effect pursuant to Title 
1, California Administrative Code, Section 100(b)82); effective thirtieth day 
thereafter (Register 86, No. 20). 

§ 448. Automatic Resignation of Intermittent Employees. 

(a) An intermittent employee whose continuity of employment in a po- 
sition is interrupted by a nonwork period that extends longer than one 
year may be considered to have automatically resigned from the position 
without fault as of one year from the last day the employee was on pay 
status subject to the restrictions in subsection (b). 

(b) separations are restricted to: 

(1 ) nonwork periods not covered by a paid leave, a formal leave of ab- 
sence without pay or other temporary separation and, 



Page 31 



Register 2003, No. 19; 5-9-2003 



§458 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



(2) those circumstances which create a presumption that the employee 
has abandoned his or her position. 

NOTE: Authority cited: Section 1870J, Government Code. Reference: Section 
19100.5, Government Code. 

History 

1 . New section filed 5-1 5-73; effective thirtieth day thereafter (Resister 73, No. 
20). 

2. Ainendment of section and Note filed 4-8-77; effective thiitieth day thereafter 
(Register 77, No. 15). 

3. Editorial reprinting of text deleted in error in Register 84, Nos. 8 and 12 (Reeis- 
ter84. No. 15). 

4. Amendment filed 8-28-85; effective thirtieth day thereafter (Register 85, No. 
35). 

5. Designation and amendment of subsection (a), new subsections (b)-(b)(2) and 
amendment of Note filed 9-4-92; operative 10-5-92 (Register 92, No. 36). 



Article 21 . Layoff Review 

For the general statutory provisions on this subject, refer to Section 
19530 of the act and sections following. 

§ 458. Corrective Action Initiated by the Executive Officer. 

When a position is reallocated to a lower class and the appointing au- 
thority fails within a four-month period following the reallocation either 
to reassign appropriate duties, to effect a change of status of the incum- 
bent to a class appropriate for the assigned duties, or to develop a plan for 
corrective action which is approved by the executive officer, the execu- 
tive officer may, pursuant to Government Code Section 18804, initiate 
a layoff in the class, including determining the area of layoff, or such oth- 
er corrective action as deemed appropriate. 

The appointing authority shall provide, upon request of the executive 
officer, in accordance with Government Code Section 18573, all the nec- 
essary information required to effect the corrective action. 

The procedures established by the executive officer to implement this 
section shall provide for appropriate and timely notification to em- 
ployees concerned of board actions which affect their position or status. 
NOTE: Reference: Sections 18573 and 18804, Government Code. 

History 

1. New section filed 4-26-67; effective thirtieth day thereafter (Register 67, No. 
17). 

2. Amendment of section and Note filed 4-8-77; effective thirtieth day thereafter 
(Register 77, No. 15). 

3. Change without regulatory effect amending section filed 9-16-92 pursuant to 
section 100, title 1, California Code of Regulations (Register 92, No. 39). 

4. Amendment of article heading filed 5-7-2003 subject to partial compliance 
with the Administrative Procedure Act and limited review by the Office of Ad- 
ministrafive Law pursuant to Government Code secfion 18215; effective on fil- 
ing pursuant to Government Code section 1 1343 .4 (Register 2003, No. 19). For 
prior history of sections 450-457 and 460, see Register 25, No. 5, Register 60, 
No. 24 and Register 86, No. 20. 

§ 470. General. 

A department undergoing layoff shall, prior to implementing a layoff, 
notify the board's executive officer of the impending layoff so that the 
executive officer may determine the applicability of Government Code 
Section 19798. If federal law or the United States Constitution requires 
the adjustment of the order of layoff pursuant to Government Code Sec- 
tion 19798, or if the failure to adjust the order of layoff in accordance with 
Government Code Section 1 9798 would result in ineligibility for a feder- 
al program and a loss of federal funds, a department may not proceed with 
a seniority-based layoff, but may have to adjust the order of layoff under 
the circumstances set forth in Section 471. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Section 
19798, Government Code; and Connerly v. State Personnel Bd. (2001) 92 Cal. 
App. 4th 16. 

History 

1. New section filed 6-5-81; effective thirtieth day thereafter (Register 81, No. 
23). 

2. Repealer and new section and amendment of Note filed 5-7-2003 subject to 
partial compliance with the Administrative Procedure Act and hmited review 
by the Office of Administrative Law pursuant to Government Code section 
18215; effective on filing pursuant to Government Code section 1 1343.4 (Reg- 
ister 2003, No. 19). 



§470.1. Definitions. 

For purposes of this Article, in conjunction with the definitions u.sed 
in Section 547.80, the following definitions shall apply: 

(a) "Affected Workforce" means all employees in the class(es) of lay- 
off 

(b) "Census Survey" is the assessment of affected workforce group 
members by means of analysis of questionnaires, in which the employees 
self-designate their race/ethnicity, gender, and, if applicable, disability 
category. 

(c) "Class(es) of Layoff means the class(es) designated for a reduc- 
tion of incumbents through layoff, or demotion in lieu of layoff, under 
the provisions of Government Code Sections 19997, 19997.8 and 
19997.9. 

(d) "Department" means the civil service workforce under the ap- 
pointing power initiating the layoff. 

(e) "Relevant Labor Force" means the pool of individuals who possess 
the requisite qualifications for the classification or occupational group 
within the geographic area in which the department can reasonably ex- 
pect to recruit. 

NOTE: Authority cited: Sections 18701 and 19231. Government Code. Reference: 
Sections 11092.5, 12940, 19792, 19798, 19997, 19997.2, 19997.8 and 19997.9, 
Government Code; and Public Health and Welfare Code. Title 42, Chapter 126, 
Sections 12101-121 17 (Americans with Disabilifies Act of 1990 [ADA]). 

History 

1 . New section filed 7-9-87 as an emergency; operative 7-9-87 (Register 87, No. 
30). A Certificate of Compliance must be transmitted to OAL within 120 days 
or emergency language will be repealed on 1 1-6-87. 

2. Repealed by operation of Government Code section 1 1346.1(g) (Register 88, 
No. 26). 

3. New secfion filed 6-16-88; operative 7-16-88 (Register 88, No. 26). 

4. Amendment of subsection (b)(4)(G), new subsection (f) and relettering, and 
amendment of newly designated (g) and Note filed 2-24-92; operative 
3-25-92 (Register 92, No. 12). 

5. Change without regulatory effect amending subsections (a)(4)(G) and (g) filed 
9-16-92 pursuant to section 100, fitle 1, California Code of Regulations (Regis- 
ter 92, No. 39). 

6. Amendment of subsection (b)(4), repealer of subsections (b)(4)(A)-(G), and 
amendment of Note filed 10-20-94; operative 1 1-21-94 (Register 94, No. 42). 

7. Amendment of section and Note filed 5-7-2003 subject to partial compliance 
with the Administrative Procedure Act and limited review by the Office of Ad- 
ministrafive Law pursuant to Government Code section 18215; effective on fil- 
ing pursuant to Government Code secfion 1 1343.4 (Register 2003, No. 19). 

§ 471. Layoff Impact Determination. 

(a) A department undergoing layoff shall provide information to the 
board to allow the board to determine whether the department is required 
by federal law to adjust the order of layoff, or whether the department is 
mandated to conduct a seniority-based layoff, unless a seniority-based 
layoff would conflict with the provisions of a memorandum of under- 
standing reached pursuant to the Ralph C. Dills Act, Government Code 
Section 3512 et seq. (Dills Act). 

(1 ) The information to be provided to the board may consist of citation 
either to any applicable federal authority that requires the department to 
adjust the order of layoff pursuant to Government Code Section 19798, 
or to any information that shows that the failure to adjust the order of lay- 
off in accordance with Government Code Section 19798 would result in 
ineligibility for a federal program and a loss of federal funds. 

(2) If the department is subject to no federal authority that would re- 
quire it to adjust the order of layoff pursuant to Government Code Section 
19798, and is not aware of any information that shows that the failure to 
adjust the order of layoff in accordance with Government Code Section 
1 9798 would result in ineligibility for a federal program and a loss of fed- 
eral funds, the department may so state in a declaration submitted to the 
board, and served upon the respective employee organization whose 
members may be impacted by the layoff 

(b) If the department determines that it is subject to the provisions of 
Government Code Section 19798, the department shall provide to the 
board evidence that it served upon the affected employee(s) and respec- 
tive employee organization(s) notice of the department' s determination 
under subsection 471(a)(1). 



Page 32 



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Title 2 



State Personnel Board 



§472 



(c) If the executive officer determines that the department has demon- 
strated that it is not required by any federal authority to adjust the order 
of layoff and is not aware of any information that shows that the failure 
to adjust the order of layoff in accordance with Government Code Sec- 
tion 19798 would result in ineligibility for a federal program and a loss 
of federal funds, the layoff review process shall end and the executive of- 
ficer shall authorize the department to proceed with a seniority-based 
layoff of employees in the class(es) of layoff, unless a seniority-based 
layoff would conflict with the provisions of a memorandum of under- 
standing reached pursuant to the Dills Act. 

(d) If the executive officer determines pursuant to subsection 
471(a)(1) that the department is required by federal law to adjust the or- 
der of layoff or that the failure to adjust the order of layoff in accordance 
with Government Code Section 19798 would result in ineligibility for a 
federal program and a loss of federal funds, and that therefore an adjust- 
ment of the order of layoff may be necessary, the department shall pro- 
vide the following additional information to the board: 

(1) Results of a departmental census survey of all employees in the 
class(es) of layoff, using SPB 1070, State Employee Race/Ethnicity 
Questionnaire (7/02), and SPB 131 A, State Employee Disability Ques- 
tionnaire Resurvey (6/01), which are hereby incorporated by reference 
in their entirety; 

(2) Listing of the affected workforce incumbents in seniority order; 
and 

(3) Any additional supporting information. 

(e) Using the information provided by the department pursuant to sub- 
sections 471(d)(1), (2), and (3), the executive officer shall conduct a data 
analysis of the composition of the affected labor force by comparing the 
most relevant labor force representation with the current representation 
and post-layoff representation. If the analysis establishes that the labor 
force representation in the affected workforce after layoff would be ei- 
ther substantially the same as it was before such layoff, or equal to its rele- 
vant labor force percentage, the executive officer may authorize the de- 
partment to proceed with a seniority-based layoff of employees in the 
class(es) of layoff. 

(f) If the analysis conducted in subsection 471 (e) establishes that the 
labor force representation after layoff will not be substantially the same 
as it was before layoff, the executive officer shall conduct an analysis of 
any evidence of the existence of discrimination in past hiring practices. 
This analysis shall include, but is not limited to, a review of job-related 
hiring and recruiting practices, bottom-line hiring and examination data, 
discrimination or merit issue complaints and appeals, or any other rele- 
vant and factual information. If this analysis establishes the possibility 
of past discriminatory hiring practices in the class(es) of layoff, the 
executive officer shall schedule a hearing as provided in Secfion 472. 

(g) At any time during the board's review process, the executive offi- 
cer may authorize a seniority-based layoff of part of the affected work- 
force in order to retain a sufficient number of employees with the highest 
seniority scores in the class(es) of layoff so as to maintain the same repre- 
sentation in the affected class(es) as existed prior to the layoff. Such 
retention shall not alter the order of seniority established for the current 
layoff. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Sections 
18654.5, 19790 and 19798, Government Code; and Connerly v. State Personnel 
Bd. (2001) 92 Cal. App. 4th 16. 

History 

1. New section filed 6-5-81; effective thirtieth day thereafter (Register 81, No. 
23). 

2. Amendment filed 7-9-87 as an emergency; operative 7-9-87 (Register 87, No. 
30). A Certificate of Compliance must be transmitted to OAL within 1 20 days 
or emergency language will be repealed on 11-6-87. 

3. Emergency language filed 7-9-87 repealed by operation of Government Code 
section 1 1346.1(f) (Register 88, No. 26). 

4. Amendment filed 6-16-88; operative 7-1 6-88 (Register 88, No. 26). 

5. Amendment filed 2-24-92; operative 3-25-92 (Register 92, No. 12). 

6. Amendment of secfion heading, repealer and new section and amendment of 
Note filed 5-7-2003 subject to partial compliance with the Administrative Pro- 
cedure Act and limited review by the Office of Administrative Law pursuant to 



Government Code section 18215; effective on filing pursuant to Government 
Code section 11343.4 (Register 2003, No. 19). 

§471.1. Appeals. 

All appeals submitted under this section shall be in writing and filed 
no later than 30 days from the date the affected employee, respective em- 
ployee organization, or department was notified of the determination or 
decision of the department or executive officer under Section 471 by the 
department or the executive officer. Any factual assertions in support of 
the appeal shall be supported by documentary evidence and/or declara- 
tions under penalty of perjury. 

(a) Appeal(s) as to the results of the departmental census survey and 
race/ethnicity, gender, or disability identification of the employee, and 
appeals as to whether the department is or is not mandated by federal law 
to adjust the order of layoff or would be at risk of losing federal funding 
if it does not adjust the order of layoff, shall be filed with the executive 
officer for resolution. The appeal(s) shall, at a minimum, set forth the le- 
gal and factual basis for the appeal(s). The executive officer shall investi- 
gate and may request additional information from the filing party and/or 
the department. If the appellant or the department disagrees with the deci- 
sion of the executive officer, the appellant or the department may appeal 
that decision to the board, no later than 30 days from the date of notifica- 
tion of the determination by the executive officer. The board may rule on 
the appeal with or without a hearing. 

(b) Appeal(s) as to the determination by the executive officer to allow 
the department to proceed with a seniority-based layoff of all or part of 
the affected workforce shall be filed with the Appeals Division of the 
State Personnel Board for resolution. The appeal(s) shall, at a minimum, 
set forth the legal and factual arguments as to why the determination(s) 
challenged in the appeal is/are improper. The Appeals Division shall be 
authorized to investigate and may conduct a hearing. 

(c) The filing of an appeal pursuant to Section 37 shall not delay the 
implementation of a decision to proceed with a seniority-based layoff. 
NOTE: Authority cited: Section 18701, Government Code. Reference: Section 
19798, Government Code; and Connerly v. State Personnel Bd. (2001) 92 Cal. 
App. 4th 1 6. 

History 
1 . New section filed 5-7-2003 subject to partial compliance with the Administra- 
tive Procedure Act and limited review by the Office of Administrative Law pur- 
suant to Government Code section 18215; effective on filing pursuant to Gov- 
ernment Code section 11343.4 (Register 2003, No. 19). 

§ 472. Past Hiring Practices Hearing. 

When required by Section 471 or ordered pursuant to Section 471.1, 
the board shall conduct a hearing to determine if past discriminatory hir- 
ing practices have occurred in the class(es) of layoff. 

(a) The executive officer shall give the department and employees in 
the affected workforce at least 15 days notice of the hearing and shall pre- 
pare a written report for the hearing. The report shall include all available 
data, statistical and otherwise, concerning past hiring practices related to 
the class(es) of layoff. 

(b) Any other party may also present evidence at the hearing concern- 
ing past hiring practices related to the class(es) of layoff. 

(c) If the board finds that past discriminatory hiring practices related 
to the class(es) of layoff have occurred, it shall: 

(1) Issue Findings of Fact supporting its determination and an order to 
remedy such discrimination. To the extent permitted by law, such an or- 
der may include, but is not limited to, changing the order and/or subdivi- 
sion(s) of layoff and reemployment so that the relative composition of the 
affected workforce of that category of employees discriminated against 
will be, as nearly as possible, the same immediately after the layoff as it 
was immediately before the layoff for those affected workforce groups. 

(2) If the board finds no discrimination in past hiring practices has oc- 
curred, it shall issue an order requiring the layoff to continue in the nor- 
mal order of seniority, unless a seniority-based layoff would conflict 
with the provisions of a memorandum of understanding reached pursuant 
to the Dills Act. 

NOTE: Authority cited: Sections 18701 and 19702.1, Government Code. Refer- 
ence: Sections 19790 and 19798, Government Code; and Connerly v. State Per- 
sonnel Bd (2001) 92 Cal. App. 4th 16. 



Page 33 



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§473 



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Title 2 



History 

1. New section filed 6-5-81; effective thirtieth day thereafter (Register 81, No. 

23). 

2. Amendment filed 7-9-87 as an emergency; operative 7-9-87 (Register 87, No. 
30). A Certificate of Compliance must be transmitted to OAL within 120 days 
or emergency language will be repealed on 1 1-6-87. 

3. Emergency lanauage filed 7-9-87 repealed by operation of Government Code 
section 1 1346. Kf) (Register 88, No. 26). 

4. Amendment filed 6-16-88; operative 7-16-88 Register 88, No. 26). 

5. Amendment of subsections (a) and (b) filed 2-24-92; operative 3-25-92 (Reg- 
ister 92, No. 12). 

6. Amendment of section and Note filed 5-7-2003 subject to partial compliance 
with the Administrative Procedure Act and limited review by the Office of Ad- 
ministrative Law pursuant to Government Code section 18215; effective on fil- 
ing pursuant to Government Code section 1 1343.4 (Register 2003, No. 19). 

§ 473. Considerations, Board Determination. 

NOTE; Authority cited: Section 18701, Government Code. Reference: Section 
19798, Government Code. 

History 

1. New section filed 6-5-81; effecfive thirtieth day thereafter (Register 81, No. 

23). 

2. Renumbering and amendment of Section 473 to 472 filed 7-9-87 as an emer- 
gency; operative 7-9-87 (Register 87, No. 30). A Certificate of Compliance 
must be transinitted to OAL within 120 days or emergency language will be re- 
pealed on 11-6-87. 

3. Emergency language filed 7-9-87 repealed by operation of Government Code 
Section 11346.1(f) (Register 88, No. 26). 

4. Repealer filed 6-16-88; operafive 7-16-88 (Register 88, No. 26). 



Article 22. Duration Appointments 

§ 500. Effective Date. 

Under authority of Section 19200 of the Government Code, the provi- 
sions of this article shall become effective whenever, subsequent to the 
adoption of this article, the Governor finds and proclaims that an emer- 
gency exists in preparing for the national defense. 
Note: Reference: Section 19200, Government Code. 

History 

1. New Article 22 (§§ 500 to 513, inclusive) filed 1 1-27-50; designated to be ef- 
fecfive when the Governor finds and proclaims that an emergency exists in pre- 
paring for the naUonal defense. As of 12-2-50 the Governor has not made such 
a finding and proclamafion (Register 22, No. 3). 

2. Amendment of NOTE filed 4-8-77; effecfive thirtieth day thereafter (Register 
77, No. 15). 

§ 501 . Scope and Application. 

The executive officer shall require that appointments shall be made on 
a duration basis to all classes and positions in the state civil service, dur- 
ing the period these regulations are in effect except that he or she may per- 
mit regular appointments and hold regular examinations whenever this 
would be in the best interests of the State. Unless otherwise provided in 
these regulations, the regulations governing the status, tenure, and condi- 
tions of employment of regular employees shall govern the status and 
tenure of duration employees. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Secfion 
19100.5, Government Code. 

History 

1. Amendment filed 8-28-85; effecfive thirtieth day thereafter (Register 85, No. 

35). 

2. Change without regulatory effect amending secfion and Note filed 9-16-92 
pursuant to secfion 100, fitle 1 , California Code of Regulations (Register 92, No. 
39). 

§ 502. Definitions. 

(a) "Duration appointment" means an appointment made under the 
provisions of Section 19200 of the Government Code and this article. 
Any such appointment shall terminate not later than 90 days after the 
Governor finds and proclaims that for the purposes of Section 19200 of 
the Government Code an emergency no longer exists. 



(b) "Duration open examination" means an open competitive exaini- 
nation held for the express purpose of providing a list of persons available 
for duration appointment to state civil service positions. 

(c) "Duration promotional examination" means a proinotional exami- 
nation held for the express purpose of providing a list of persons available 
for promotion by duration appointment to state civil service positioiis. 

(d) "Duration employment list" means a duration eligible list, duration 
subdivisional promotional list, duration departmental promotional hst, 
duration service-wide promotional list, duration departmental reem- 
ployment list, duration subdivisional reemployment list, or duration gen- 
eral reemployment list. 

(e) "Duration eligible list" means a list of persons who have been ex- 
amined in a duration open examination and who are eligible for certifica- 
tion only for duration appointment to state civil service positions. 

(f) "Duration subdivisional promotional list" means a list of persons 
eligible for certification for duration appointment to a specific class re- 
sulting from a duration promotional examination for a particular subdivi- 
sion of a state agency. 

(g) "Duration departmental promotional list" means a list of persons 
eligible for certification for duration appointment to a specific class re- 
sulting from a duration promotional examination for a particular state 
agency. 

(h) "Duration service-wide proinotional list" means a list of persons 
eligible for certification for duration appointment to a specific class re- 
sulting from a duration promotional examination for the entire state ser- 
vice. 

(i) "Duration general reemployment list" means a list established for 
the reemployment by duration appointment of persons in a particular 
class in any state agency, irrespective of the state agency in which the per- 
sons were previously employed. 

(j) "Duration departmental reemployment list" means a list estab- 
lished for the reemployment by duration appointment of persons in a par- 
ticular class in a particular state agency. 

(k) "Duration subdivisional reemployment list" means a list estab- 
lished for the reemployment by duration appointment of persons in a par- 
ticular class in a particular subdivision of a state agency. 

(/) "Limited-term duration appointment" means a duration appoint- 
ment from a duration or regular employment list for a period less than the 
probationary period. 

(m) "Duration employee" means a person legally holding a position 
in the state civil service by reason of a duration appointment. 

(n) "Probationary duration employee" or "duration probationer" 
means an employee who is serving a probationary period following a du- 
ration appointment from a duration or regular employment list. 

(o) "Limited-term duration employee" means a duration employee 
appointed from a duration or regular employment list for a period less 
than the probationary period. 

§ 503. Duration Examinations. 

To establish lists of persons available for duration appointment, the 
executive officer may hold duration open examinations and duration pro- 
motional examinations. Duration employment lists shall not be used in 
making regular appointments. The regulations governing the conduct of 
regular examinations shall govern the conduct of duration examinations. 

§ 504. Certification of Eligibles. 

(a) Duration appointments may be made from regular or duration em- 
ployment lists. The order of preference of employment lists in certifying 
eligibles for duration appointment shall be: subdivisional reemployment 
list, duration subdivisional reemployment list, departmental reemploy- 
ment list, duration departmental reemployment list, subdivisional pro- 
motional list, duration subdivisional promotional list, departmental pro- 
motional list, duration departmental promotional list, general 
reemployment list, duration general reemployment list, service-wide 
promotional list, duration service-wide promotional list, eligible list, and 
duration eligible hst. 



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• 



• 



(b) The certification of names from, the establishment of, and the 
maintenance of each type of duration employment list shall be done in 
accordance with the regulations that apply to the corresponding regular 
employment list, except as may be provided otherwise in these regula- 
tions. 

(c) The acceptance or declination of a duration appointment from a 
regular employment Hst shall not affect the rights of an eligible to certifi- 
cation for a regular permanent appointment. The name of an eligible who 
accepts a duration appointment after certification from a regular employ- 
ment list shall be retained on that list but the name shall not be certified 
in the making of additional duration appointments from that employment 
list. 

History 
1 . Change without regulatory effect amending subsection (b) filed 9-16-92 pur- 
suant to section 100, title 1. California Code of Regulations (Resister 92, No. 
39). 

§ 505. Probationary Period for Duration Appointment. 

(a) Duration appointments shall be made subject to the same probation 
requirements as for regular permanent appointments. 

(b) A permanent employee or a duration employee who has completed 
his probation and who has vacated his position to accept a duration ap- 
pointment in another class and is rejected during the probationary period 
shall be reinstated in his former position. 

§ 506. Eligibility for Promotion. 

(a) Duration promotional examinations shall be open to permanent 
employees and duration employees who have completed their probation 
and shall otherwise be governed by the regulations applicable to regular 
promotional examinations. 

(b) A duration employee shall not be eligible to compete in a regular 
promotional examination unless immediately preceding his duration ap- 
pointment he had permanent civil service status in a class designated as 
appropriate for the examination. 

§ 507. Reports of Performance. 

History 
1. Repealer filed 5-15-86 as a change without regulatory effect pursuant to Title 
1, California Administrative Code, Section 100(b)(2); effective thirtieth day 
tliereafter (Register 86, No. 20). 

§ 508. Counting of Duration Service. 

History 

1. Repealer filed 5-15-86 as a change without regulatory effect pursuant to Title 
1, California Administrative Code, Section 100(b)(2); effective thirtieth day 
thereafter (Register 86, No. 20). 

§ 509. Layoff. 

History 
1. Repealer filed 5-15-86 as a change without regulatory effect pursuant to Tide 
1, California Administrative Code, Section 100(b)(2); effective thirtieth day 
thereafter (Register 86, No. 20). 

§ 51 0. Leave of Absence. 

History 
1. Repealer filed 5-15-86 as a change without regulatory effect pursuant to Title 
1, Cahfomia Administrative Code, Section 100(b)(2); effecfive thirtieth day 
thereafter (Register 86, No. 20). 

§ 511 . Discipline and Demotion. 

The regulations governing the discipline, demotion, rejection, or dis- 
missal of regular probationer or permanent employees shall apply to du- 
ration employees. 

§512. Reinstatement. 

Except as otherwise provided in these regulations, the regulations gov- 
erning reinstatement of probationary or permanent employees shall ap- 
ply to duration employees. 

History 

1. Change without regulatory effect amending section filed 9-16-92 pursuant to 
section 100, title 1, California Code of Regulations (Register 92, No. 39). 



§513. Termination. 

(a) All duration appointments, unless sooner terminated by layoff or 
other means of separation, shall terminate 90 days after the Governor 
finds and proclaims that, for the purposes of Section 1 9200 of the Gov- 
ernment Code, the emergency no longer exists. No duration employee, 
nor any person on a duration employment list, shall then be eligible for 
further state civil service employment except as he may otherwise be le- 
gally appointed. 

(b) At the termination of a duration appointment, or of a temporary ap- 
pointment immediately following the duration appointment, an em- 
ployee who immediately preceding such appointments was a permanent 
or probationary employee shall be entitled to return to his former posi- 
tion, or a position in his former class in the same agency and in the same 
locality. 

(c) All duration employment lists shall expire 90 days after the Gover- 
nor finds and proclaims that for purposes of Section 19200 of the Govern- 
ment Code, the emergency no longer exists. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Section 
19100, Government Code. 

History 

1 . Amendment filed 8-28-85; effective thirtieth day thereafter (Register 85, No. 

35). 

§ 520. Personnel Reduction. 

Note: Authority cited: Section 18701, Government Code. Reference: Sections 
18031, 18032 and 18037, Government Code. 

History 

1. New section filed 4-3-81 ; effective thirtieth day thereafter (Register 81, No. 
14). 

2. Editorial reprinting of text deleted in errorin Register 84, Nos. 8 and 12 (Regis- 
ter 84, No. 15). 

3. Repealer filed 5-1 5-86 as a change without regulatory effect pursuant to Title 
1, California Administrative Code, Section 100(b)(2); effective thirtieth day 
thereafter (Register 86, No. 20). 

§ 521 . Reduced Worktime Schedules. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Section 
18034(a), (b), (c). Government Code. 

History 

1. New section filed 4-3-81; effective thirtieth day thereafter (Register 81, No. 
14). 

2. Repealer filed 5-1 5-86 as a change without regulatory effect pursuant to Title 
1, California Administrative Code, Section 100(b)(2); effective thirtieth day 
thereafter (Register 86, No. 20). 

§ 522. Return to Full-Time Work. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Secfion 
18034(d), Government Code. 

History 

1. New section filed 4-3-81; effective thirtieth day thereafter (Register 81, No. 
14). 

2. Editorial reprinting of text deleted in error in Register 84, Nos. 8 and 1 2 (Regis- 
ter 84, No. 15). 

3. Repealer filed 5-1 5-86 as a change without regulatory effect pursuant to Title 
1, California Administrative Code, Secfion 100(b)(2); effective thirtieth day 
thereafter (Register 86, No. 20). 

§ 523. Layoff of Reduced Worktime Employees. 

NOTE: Authority cited: Section 18701, Government Code. Reference; Sections 
18034(e), 19530-19541, Government Code. 

History 

1. New section filed 4-3-81; effective thirtieth day thereafter (Register 81, No. 
14). 

2. Editorial reprinting of text deleted in error in Register 84, Nos. 8 and 12 (Regis- 
ter 84, No. 15). 

3. Repealer filed 5-15-86 as a change without regulatory effect pursuant to Title 
1, California Administrafive Code, Secfion 100(b)(2); effective thirtieth day 
thereafter (Register 86, No. 20). 

§ 524. Rights of Employees. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Sections 
18038, and 18714(a), Government Code. 

History 

1, New section filed 4-3-81; effective thirtieth day thereafter (Register 81, No. 
14). 

2. Editorial reprinting of text deleted in error in Register 84, Nos. 8 and 1 2 (Regis- 
ter 84, No. 15). 



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Title 2 



3. Repealer filed 5-15-86 as a change without regulatory effect pursuant to Title 
1, California Administrative Code, Section 100(b)(2); effective thirtieth day 
thereafter (Register 86, No. 20). 

§ 525. Reporting Programs. 

NOTE; Authority cited: Section 18701, Government Code. Reference: Section 
18039, Government Code. 

History 

1. New section filed 4-3-81; effective thirtieth day thereafter (Register 81, No. 
14). 

2. Editorial reprinting of text deleted in error in Register 84, Nos. 8 and 12 (Regis- 
ter 84, No. 15). 

3. Repealer filed 5-15-86 as a change without regulatory effect pursuant to Title 
1, California Administrative Code, Section 100(b)(2); effective thirtieth day 
thereafter (Register 86, No. 20). 



Article 23. Training 



§ 530. In-Service Training — Definitions. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Sections 
19450 and 19451, Government Code. 

History 

1. Repealer of Article 23 (Sections 531-537) and new Article 23 (Sections 530, 
531, 532, 533, 533.1-533.3 and 534-536) filed 3-1 1-72; effective thirtieth day 
thereafter (Register 72, No. 13). For history of former Article, see Register 58, 

No. 5. 

2. Repealer of Article 23 (Sections 530-533, 533.1-533.3 and 534-536) filed 
8-28-85; effective thirtieth day thereafter (Register 85, No. 35). 



Article 24. Employer-Employee Relations 

§ 540. Definition of a Grievance. 

NOTE: Reference: Section 18714, Government Code. 

History 

1. New section filed 4-27-61; designated effecdve 9-1-61 (Register 61, No. 9). 

2. Amendment filed 1 1-27-68; effecdve thirtieth day thereafter (Register 68, No. 

45). 

3. Amendment of secfion and NOTE filed 4-8-77; effective thirtieth day thereaf- 
ter (Register 77, No. 15). 

4. Repealer of Arficle 24 (Sections 540, 540.1-540.11 and 543-546) filed 
8-28-85; effective thirtieth day thereafter (Register 85, No. 35). For prior histo- 
ry of Article 24, including Section 541, see Registers 77, No. 17 and 77, No. 15. 



Article 25. Discrimination 

§ 547. Discrimination Prohibition. 

Disciimination in violation of state or federal law shall be prohibited 
in State employment practices. All issues relating to alleged violation of 
Federal or State anti-discrimination laws shall be resolved using the ap- 
peal process provided in Secdons 54 to 54.2 inclusive. 
NOTE: Authority: Secdon 18701, Government Code. Reference: Secdons 19700, 
19701, 19702, 19702.1, 19702.2, 19702.5, 19703, 19704 and 19705, Government 
Code. 

History 

1 . New article 25 (secdons 547, 547. 1 and 547.2) filed 3-22-76; effective thirtieth 
day thereafter (Register 76, No. 13). 

2. Amendment of Note filed 4-8-77; effective thirtieth day thereafter (Register 
77, No. 15). 

3. Amendment filed 4-26-90; operative 5-26-90 (Register 90, No. 22). 

4. Change without regulatory effect amending section filed 9-16-92 pursuant to 
section 100, title 1, California Code of Reguladons (Register 92, No. 39). 

§ 547.1. Procedure for Resolving Discrimination 
Complaints. 

A complaint against an action, decision, policy or condition which is 
within the authority of the appointing power to resolve shall be first con- 
sidered by the appointing power before referral to the Personnel Board. 
A complaint of discrimination which cannot be resolved by the appoint- 
ing power, or which is not within the authority of the appointing power 
to resolve, shall be filed with the Personnel Board as an appeal. The ex- 
ecutive officer may first attempt to resolve such a complaint informally. 



or refer it to the board for hearing. Complaints which do not allege dis- 
criminadon as set forth in Secdon 547 shall be dealt with through the 
grievance procedure, if applicable, or filed as an appeal to the board. 

Each complaint must in writing and state clearly the facts upon which 
it is based, and the relief requested, in sufficient detail for the reviewing 
authority to understand the nature of the complaint and who is involved. 

Each appointing power may establish a written procedure through 
which an employee may obtain consideradon for an allegadon of dis- 
crimination. All such procedures are subject to the approval of the execu- 
dve officer. Undl the appointing power estabhshes an approved proce- 
dure, the standard procedure prescribed by the execudve officer shall 
apply. 

History 
1. Change without regulatory effect amending secdon filed 9-16-92 pursuant to 
section 100, tide 1, California Code of Regulations (Register 92, No. 39). 

§ 547.2. Standards. 

History 
1. Renumbering and amendment of former section 547.2 to secdon 54.2 filed 
4-26-90; operative 5-26-90 (Register 90, No. 22). 



Article 26. Mandatory Retirement 

§ 547.20. Eligibility. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Section 
20983.5, Government Code. 

History 

1. New Article 26 (Sections 547.20 through 547.27) filed 12-7-78; effecdve thir- 
tieth day thereafter (Register 78, No. 49). 

2. Repealed pursuant to Title 1 , Secdon 100(b)(2) of the California Administrative 
Code (Register 86, No. 28). 

§ 547.21 . Determination of Eligibility. 

NotE: Authority cited: Section 18701, Government Code. Reference: Section 
20983.5, Government Code. 

History 

1. Repealed pursuant to Tide 1, Secdon 100(b)(2) of the California Administradve 
Code (Register 86, No. 28). 

§ 547.22. Application for Certificate. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Secdon 
20983.5, Government Code. 

History 
1 . Repealed pursuant to Tide 1 , Section 100(b)(2) of the California Administradve 
Code (Register 86, No. 28). 

§ 547.23. Expiration and Recertification. 

NOTE: Authority cited: Secdon 18701, Government Code. Reference: Section 
20983.5, Government Code. 

History 
1 . Repealed pursuant to Title 1 . Section 1 00(b)(2) of the California Administrative 
Code (Register 86, No. 28). 

§ 547.24. Appeal Rights. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Secdon 
20983.5, Government Code. 

History 
1 . Repealed pursuant to Title 1 , Section 1 00(b)(2) of the CaUfornia Administradve 
Code (Register 86, No. 28). 

§ 547.25. Appeal Process. 

NOTE; Authority cited: Section 18701, Government Code. Reference: Section 
20983.5, Government Code. 

History 

1. Repealed pursuant to Tide 1, Secdon 100(b)(2) of the California Administrative 
Code (Register 86, No. 28). 

§ 547.26. Temporary Certifications. 

NOTE: Authority cited: Secdon 18701, Government Code. Reference: Secdon 
20983.5, Government Code. 

History 

1 . Repealed pursuant to Title 1 , Secdon 1 00(b)(2) of the California Administrative 
Code (Register 86, No. 28). 

§ 547.27. Return Rights. 

NOTE: Authority cited: Secdon 18701, Government Code. Reference: Secdon 
20983.5, Government Code. 



• 



• 



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§ 547.50 



History 
1. Repealed pursuant to Title 1, Section 100(b)(2) ofthe California Administrative 



Code (Register 86, No. 2^ 



Article 27. Discriminatory Employment 
Practices 

§ 547.30. Objectives. 

NOTE: Authority cited: Sections 18701, 19233 and 19792, Government Code. 
Reference: Sections 18670, 18710, 19233, 19702.1 and 19792, Government 
Code. 

History 

1. New Article 27 (Sections 547.30-547.33) filed 9-3-82; effective thirtieth day 
thereafter (Register 82, No. 36). 

2. Change without regulatory effect repealing article 27 (sections 547.30-547.34) 
and section filed 6^24-98 pursuant to section 100, title 1, California Code of 
Regulations (Register 98, No. 26). 

§547.31. Definitions. 

NOTE: Authority cited: Sections 18701, 19233 and 19792, Government Code. 
Reference: Section 19231, Government Code; and Public Health and Welfare 
Code, Title 42, Chapter 126, Sections 12101-121 17 (Americans with Disabihties 
Act of 1990 [ADA]). 

History 

1 . Change without regulatory effect amending subsection (a) filed 9-1 6-92 pur- 
suant to section 100, title 1, California Code of Regulations (Register 92, No. 
39). 

2. Amendment of subsection (a), new subsections (a)(l)-(4), and amendment of 
subsections (b) and (f) and Note filed 1 0-20-94; operafive 1 1-21-94 (Register 
94, No. 42). 

3. Change without regulatory effect repealing secfion filed 6-24-98 pursuant to 
section 100, title 1, California Code of Regulations (Register 98, No. 26). 

§ 547.32. Hearings. 

NOTE: Authority cited: Sections 18701, 19233 and 19792, Government Code. 
Reference: Sections 18670, 19233. 19790 and 19792, Government Code. 

History 

1. Change without regulatory effect amending subsections (c)(1), (0 and (g) filed 
9- 1 6-92 pursuant to section 1 00, title 1 , Call fornia Code of Regulations (Regis- 
ter 92, No. 39). 

2. Change without regulatory effect repealing section filed 6-24-98 pursuant to 
section 100, title 1, California Code of Regulafions (Register 98, No. 26). 



§ 547.33. Remedial Order, 

NOTE: Authority cited: Sections 18701, 19233 and 19792, Govemment Code. 
Reference: Sections 18710, 19790 and 19792, Government Code. 

History 

1. Change without regulatory effect amending subsecfions (a) and (0 filed 
9-1 6-92 pursuant to section 100, title 1 , California Code of Regulations (Regis- 
ter 92, No. 39). 

2. Change without regulatory effect repealing section filed 6-24-98 pursuant to 
section 100, title 1, California Code of Regulations (Register 98, No. 26). 

§ 547.34. American Indian Verification. 

Note: Authority cited: Sections 18701, 19705 and 19790, Government Code. 
Reference: Sections 19705, 19790 and 19792, Govemment Code. 

History 

1 . New section filed 8-28-86; operative 9-27-86 (Register 86, No. 35). 

2. Change without regulatory effect repealing section filed 6-24-98 pursuant to 
section 100, dtle 1, California Code of Regulations (Register 98, No. 26). 

Article 28. Limited Examination and 
Appointment Program 

§547.50. Scope. 

(a) This article shall apply to the alternative category of civil service 
examitiation and appointment established for the hiring of individuals 
with disabilities defined by Section 10. For puiposes of this article, the 
alternative category shall be known as the "Limited Examination and 
Appointment Program" and referred to as LEAP in the remainder of this 
article. 

(b) Participants in LEAP who receive a temporary appointment to a 
job classification established to assess their ability to perform in the regu- 
lar civil service class shall have the same status as regular civil service 
employees with temporary appointments. 

(c) All board regulations shall apply to persons participating in LEAP 
unless such regulations are in conflict with regulations in this article. If 
there is such a conflict, the regulations in this article shall apply. 
NOTE: Authority cited: Sections 1 8701 and 1 9241, Govemment Code. Reference: 
Sections 19240-19244, Govemment Code; and Public Health and Welfare Code, 



[The next page is 39.] 



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§ 547.56 



Title 42. Chapter 126, Sections 12101-12117 (Americans with Disabilities Act of 
1990 I AD A]). 

History 

1. New section filed 5-17-89; operative 6-1-89 (Register 89, No. 21). 

2. Change without regulatory effect amending subsections (a) and (c) filed 
9-16-92 pursuant to section 100, title 1, California Code of Regulations (Regis- 
ter 92, No. 39). 

3. Amendment of subsection (a) and Note filed 10-20-94; operative 1 1-21-94 
(Register 94, No. 42). 

§ 547.51 . LEAP Eligibility Criteria. 

(a) Only those applicants who possess the following shall be eligible 
to participate in the LEAP process: 

(J) Written Verification from the California Department of Rehabih- 
tation certifying that the applicant meets the definition of an individual 
with a disability contained in Section 10; and 

(2) The education and experience requirements established by the 
board for participation in a LEAP classification examination. 

(b) Where there is disagreement concerning the applicant's medical 
qualifications to be LEAP certified as specified in Section (a)(1), the ex- 
ecutive officer shall determine the appropriateness of the certification 
based on the medical evidence submitted. 

NOTE: Authority cited: Sections 18701 and 19421, Government Code. Reference: 
Sections 18931, 19241 and 19242.2, Government Code; and Public Health and 
Welfare Code, Title 42, Chapter 126, Sections 12101-12117 (Americans with 
Disabilities Act of 1990 [ADA]). 

History 

1. New section filed 5-17-89; operative 6-1-89 (Register 89, No. 21). 

2. Amendment filed 2-21-92; operative 3-23-92 (Register 92, No. 12). 

3. Change without regulatory effect amending subsection (a) filed 9-16-92 pur- 
suant to section 100, title 1, California Code of Regulations (Register 92, No. 
39). 

4. Amendment of subsection (a)(1) and Note filed 10-20-94; operative 11-21-94 
(Register 94, No. 42). 

§ 547.52. LEAP Readiness Evaluations. 

The education, experience and personal qualifications of LEAP appli- 
cants who meet the eligibility requirements of Section 547.51 shall be 
evaluated by competitive examination to determine readiness for ap- 
pointment. Those applicants who are ready for immediate employment 
in a LEAP classification shall be placed on the referral list specified in 
Government Code Section 19242.2. 

NOTE: Authority cited: Section 18701 and 19241, Government Code. Reference: 
Sections 19242 and 19242.2, Government Code. 

History 

1. New secuon filed 5-17-89; operative 6-1-89 (Register 89, No. 21). 

2. Change without regulatory effect amending section filed 9-16-92 pursuant to 
secdon 100, title 1, California Code of Regulations (Register 92, No. 39). 

3. Amendment of section heading and section filed 7-14-98; operative 7-14-98 
pursuant to Government Code section 11343.4(d) (Register 98, No. 29). 

§ 547.53. Appointment to a LEAP Classification. 

(a) Appointment to a LEAP classification shall be restricted to those 
who meet the criteria in Sections 547.5 1 and 547.52 and who are selected 
from a referral list as described in Section 19242.2, Government Code. 

(b) LEAP eligibles shall remain on the referral list until they are ap- 
pointed from the list or the list is abolished. 

NOTE: Authority cited: Section 18701 and 19241, Government Code. Reference: 
SecUon 19242.4, Government Code. 

History 

1. New section filed 5-17-89; operafive 6-1-89 (Register 89, No. 21). 

2. Change without regulatory effect amending subsection (a) filed 9-16-92 pur- 
suant to section 100, title 1, California Code of Regulations (Register 92, No. 
39). 

§ 547.54. LEAP Job Examination Period. 

(a) Appointment to a LEAP classification constitutes the beginning of 
a LEAP job examination period. The length of the LEAP job examination 
period shall be one-third the length of the probationary period of the per- 
manent civil service class to which it is expected that the LEAP candidate 
will be appointed upon satisfactory completion of the LEAP job exami- 
nation period unless extended under the provisions of Section 547.55(a) 
or reduced under the provisions of Section 547.55(b). 

(b) Each LEAP candidate, upon appointment, shall be provided by the 
appointing power with written information which shall identify the spe- 



cific knowledge, skills and abilities that are to be assessed in order to de- 
termine during the LEAP job examination period the candidate's ability 
to perform the duties of the permanent civil service classification to 
which appointment is sought. 

(c) The executive officer shall determine the appropriate test of fitness 
for each LEAP classification. This test of fitness shall provide the LEAP 
candidates with sufficient opportunity to demonstrate that they possess 
the satisfactory level of knowledge, skill and ability to effectively per- 
form the duties of the regular civil service classification to which ap- 
pointment is sought. 

(d) During the prescribed LEAP job examination period, the appoint- 
ing power shall evaluate each LEAP candidate's ability to perform satis- 
factorily the duties of the regular civil service classification to which ap- 
pointment is sought. LEAP candidate shall receive a written report of 
evaluation from the appointing power no less than once every four 
weeks. 

NOTE: Authority cited: Secdons 1 8701 and 19241, Government Code. Reference: 
Sections 19242.4 and 19242.8, Government Code. 

History 

1. New section filed 5-17-89; operadve 6-1-89 (Register 89, No. 21). 

2. Change without regulatory effect amending subsection (a) filed 9-16-92 pur- 
suant to section 100, dtle 1, Cahfomia Code of Regulations (Register 92, No. 
39). 

§ 547.55. Extension or Reduction in Job Examination 
Period. 

(a) When the executive officer determines that the LEAP candidate 
has not been given the opportunity to demonstrate knowledge, skill and 
ability in a specific area identified in Section 547.54(b), the LEAP job ex- 
amination period shall be extended for a period determined appropriate 
by the executive officer. Such extensions shall not result in the appoint- 
ment exceeding the nine-month limit specified in Article VII of the State 
Constitution. 

(b) The LEAP job examination period specified in Section 547.54(a) 
shall be reduced if the executive officer determines that all of the follow- 
ing apply: 

(1) The LEAP candidate held a position in state civil service during 
twelve-month period prior to the effective date of the LEAP appoint- 
ment; and 

(2) The duties performed in the position in (1) above were equivalent 
in level of responsibility and requirements of knowledge, skills and abili- 
ties to the duties of the position to which the LEAP candidate will be ap- 
pointed upon completion of the LEAP job examination period; and 

(3) The position in ( 1 ) above was held by the LEAP candidate for a pe- 
riod of time that equals or exceeds the LEAP job examination period spe- 
cified in Section 547.54(a); and 

(4) The LEAP candidate has written evidence of satisfactory perform- 
ance in all aspects of the position in (1) above; and 

(5) The LEAP candidate's current appointing power requests that the 
LEAP job examination period be reduced. 

(c) If all conditions specified in (b) above are met, the job examination 
period shall be reduced to a period determined appropriate by the execu- 
dve officer. 

NOTE: Authority cited: Sections 18701 and 19241, Government Code. Reference: 
Secdons 19242.4 and 19243.2, Government Code. 

History 

1. New section filed 5-17-89; operadve 6-1-89 (Register 89, No. 21). 

2. Change without regulatory effect amending section heading and subsecdons 
(a), (b) and (b)(3) filed 9-16-92 pursuant to secdon 100, title 1 , California Code 
of Reguladons (Register 92, No. 39). 

§ 547.56. Transition from LEAP Position to Regular Civil 
Service Position. 

(a) The executive officer shall approve the LEAP candidate appoint- 
ment to the regular civil service classification that corresponds to the 
LEAP classification if the following conditions are met: 

(1) The job examination period specified in Section 547.54(a) has 
been successfully completed; and 

(2) The appointing power submits verification to the executive officer 
that the LEAP candidate has successfully completed the LEAP job ex- 
amination period. 



Page 39 



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§ 547.57 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



(b)If, within 30 days of the end of the job examination period, the ap- 
pointing power does not either extend the candidate's job examination 
period in accordance with Government Code Section 19243.2, or termi- 
nate the candidate's appointment in accordance with Government Code 
Section 19243.4, the candidate shall be presumed to have qualified in the 
examination and shall be appointed to the regular civil service classifica- 
tion effective the day following the last day of the job examination peri- 
od. 

NOTE; Authority cited: Sections 18701 and 19241, Government Code. Reference: 
Sections 19242.9, 19243, 19243.2, and 19243.4, Government Code. 

History 

1 . New section filed 5-17-89; operative 6-1-89 (Register 89, No. 21). 

2. Amendment of subsection (a)(1), (b) and Note filed 2-21-92; operative 
3-23-92 (Register 92, No. 12). 

3. Change without regulatory effect amending subsection (a)(1) filed 9-16-92 
pursuant to section 100, title 1 , California Code of Reeulations (Register 92, No. 
39). 

§ 547.57. Termination During Job Examination Period. 

(a) A LEAP candidate's appointment shall be terminated by the ap- 
pointing power during or no later than 30 days following completion of 
the LEAP job examination period for failure to meet conditions for ap- 
pointment provided in Section 547.53; failure to satisfactorily demon- 
strate the level of knowledge, skill and ability required by Section 
547.54; for other reasons relating to the candidate' s qualifications; for the 
good of the service; or for failure to demonstrate merit, efficiency, fitness 
including medical condition, or moral responsibility; but he or she shall 
not be terminated for any cause constituting prohibited discrimination as 
set forth in Government Code Sections 19700 to 19703, inclusive. 

(b) A LEAP candidate whose appointment is terminated shall be given 
written notice by the appointing power of the proposed action at least five 
working days prior to the effective date of the termination. Such notice 
shall specify the reasons for the termination, the right to respond to the 
appointing power and the right to appeal the action to the State Personnel 
Board under the provisions of Sections 51-54.2. 

(c) An appeal from termination shall be assigned to the hearing office 
process as defined in Section 52. The provisions of Government Code 
Sections 19574.1, 19574.2, 19579, 19580, 19581, and 19581.5 shall ap- 
ply in the disposition of an appeal. 

(d) To resolve the appeal, the board shall do one of the following: 

(1) Affirm the action of the appointing power. 

(2) Modify the action of the appointing power. 

(3) Restore the name of the appellant to the LEAP referral list from 
which appointed. 

(4) Restore the appellant to the position from which he or she was ter- 
minated but this shall be done only if the board determines, after hearing, 
that there is no substantial evidence to support the reason or reasons for 
termination, or that the termination was made in fraud or bad faith. At any 
such hearing, the appellant shall have the burden of proof; subject to re- 
buttal by him or her, it shall presumed that the termination was free from 
fraud and bad faith and that the statement of reasons therefor in the notice 
of termination is true. 

(e) If the board restores a terminated LEAP candidate to his or her posi- 
tion, it shall direct the payment of salary to the employee for such period 
of time as the termination was improperly in effect as prescribed in Gov- 
ernment Code Section 19180. 

(f) The board, by decision or upon written request of a LEAP candidate 
whose appointment is terminated for reasons relating to the LEAP candi- 
date's ability to demonstrate the knowledge, skill, and ability required by 
Section 547.54 and who is legally eligible for appointment in accordance 
with Section 547.53, shall restore the name of the LEAP candidate to the 
LEAP referral list from which appointed for the remaining period of eli- 
gibility. 

NOTE: Authority cited: Sections 18701 and 19241, Government Code. Reference: 
Sections 19180, 19243.4, 19244, 19574.1, 19574.2, 19579, 19580, 19581, and 
19581.5, Government Code. 

History 

1. New section filed 5-17-89; operative 6-1-89 (Register 89, No. 21). 

2. Amendment filed 2-21-92; operative 3-23-92 (Register 92, No. 12). 



3. Change without regulatory effect amending section filed 9-16-92 pursuant to 
sectio'n 100, title 1. California Code of Regulations (Register 92, No. 39). 

Subchapter 1.5. Personal Services 
Contracts 



Article 1. Definitions 

§ 547.59. Definition of a Personal Services Contract. 

(a) A "Personal Services Contract" is defined as any contract, requisi- 
tion, purchase order, etc. (except public works contracts) under which la- 
bor or personal services is a significant, separately identifiable element. 
The business or person performing these contractual services must be an 
independent contractor that does not have status as an employee of the 
State. 

(b) A "cost-savings based Personal Services Contract" is any Personal 
Services Contract proposed to achieve cost savings and subject to the 
provisions of Government Code Section 19130(a). 

NOTE: Authority cited: Section 18701, Government Code. Reference: Section 
19130, Government Code. 

History 

1 . Change without regulatory effect renumbering and amending former section 
279.1 to section 547.59 filed 12-1-99 pursuantTo section 100, Title 1, California 
Code of Regulations (Register 99, No. 49). 

2. Editorial correction providing correct placement for section 547.59 in subchapt- 
er 1.5, article 1 (Register 99, No. 51). 

3. Change without regulatory effect renumbering and relocating former article 1 
heading to article 2 and adopting new article 1 heading filed 2-7-2000 pursuant 
to section 1 00, title 1 , California Code of Regulations (Register 2000, No. 6). 

Article 2. Procedures for Reviewing 

Personal Services Contracts Proposed or 

Entered Into Pursuant to Government Code 

§191 30(b) 

§ 547.60. Standard and Control for Approval of Contracts. 

When a state agency requests approval from the Department of Gener- 
al Services for a contract let under Government Code §19130(b), the 
agency shall include with its contract transmittal a written justification 
that includes specific and detailed factual information that demonstrates 
how the contract meets one or more of the conditions specified in Gov- 
ernment Code §191 30(b). 

NOTE: Authority cited: Section 10337(a), Public Contract Code; and Section 
18701, Government Code. Reference: Section 19130, Government Code. 

History 

1. New subchapter 1.5 (articles 1-3), article 1 (sections 547.60-547.63) and sec- 
tion filed 5-3-99; operative 5-3-99 pursuant to Government Code section 
11343.4(d) (Register 99, No. 19). 

2. Change without regulatory effect renumbering and relocating former article 1 
heading to article 2 filed 2-7-2000 pursuant to section 100, title 1, California 
Code of Regulations (Register 2000, No. 6). 

§ 547.61 . Employee Organization's Request for Review. 

(a) Any employee organization that represents state employees may 
request that the board review a contract proposed or executed by a state 
agency pursuant to Government Code § 1 91 30(b) by filing with the board 
and serving upon the state agency a written request for review. The em- 
ployee organization's request for review shall identify the contract to be 
reviewed and include the following: 

(1) specific and detailed factual inforination that demonstrates how the 
contract fails to meet the conditions specified in Government Code 
§19130(b); and 

(2) documentary evidence and/or declarations in support of the em- 
ployee organization's position. 

(b) The employee organization shall file a proof of service with the 
board that states when and how it served a copy of its request for review 
upon the state agency. 

NOTE; Authority cited: Section 18701, Government Code. Reference: Sections 
19130 and 19132, Government Code; and Section 10337, Public Contract Code. 



Page 40 



Register 2000, No. 6; 2-11-2000 



Title 2 



State Personnel Board 



§ 547.66 



History 
1 . New section filed 5-3-99; operative 5-3-99 pursuant to Goveniment Code sec- 
tion 1 1343.4(d) (Register 99, No. 19). 

§ 547.62. State Agency's Response. 

Within 7 days after the state agency receives a copy of the employee 
organization's request for review, the state agency shall serve a copy of 
that request upon the contractor(s) to the disputed contract. Within 15 
days after the state agency receives a copy of the employee organiza- 
tion's request for review, the state agency shall file with the board and 
serve upon the employee organization: 

(a) a copy of the proposed or executed contract; and 

(b) the state agency's written response to the employee organization's 
request for review, which shall include: 

(1) specific and detailed factual information that demonstrates how the 
contract meets one or more of the conditions specified in Government 
Code § 19130(b); and 

(2) documentary evidence and/or declarations in support of the state 
agency's position. 

NOTE; Authority cited: Section 18701, Government Code. Reference: Sections 
19130 and 19132, Government Code; and Section 10337, Public Contract Code. 

History 
1 . New section filed 5-3-99; operative 5-3-99 pursuant to Government Code sec- 
tion 11 343.4(d) (Register 99, No. 19). 

§ 547.63. Employee Organization's Reply. 

Within 5 days after it receives from the state agency a copy of the con- 
tract and the state agency's response, an employee organization may file 
with the board and serve upon the state agency a written reply to the state 
agency's response. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Sections 
19130 and 19132, Government Code; and Section 10337, Pubhc Contract Code. 

History 
1 . New section filed 5-3-99 ; operative 5-3-99 pursuant to Government Code sec- 
tion 11343.4(d) (Register 99, No. 19). 



Article 3. Supplemental Procedures for 

Reviewing Personal Services Contracts 

Executed Under Either Government Code 

§19130(a) or §191 30(b) 

§ 547.64. Executive Officer Decision. 

Within 30 days after receiving a copy of the proposed or executed con- 
tract, the executive officer shall do one of the following: 

(a) If the employee organization has shown that good cause exists for 
referring the disputed contract for a hearing for the purpose of taking evi- 
dence and hearing arguments, the executive officer, in accordance with 
§547.65, shall refer the matter to an administrative law judge or other au- 
thorized representative of the board to conduct an evidentiary hearing 
and submit a proposed decision; or 

(b) If the employee organization has not shown that good cause exists 
for referring the disputed contract for a hearing for the purpose of taking 
evidence and hearing arguments, the executive officer shall issue a writ- 
ten decision either approving or disapproving the contract and explaining 
the reasons for the decision. The executive officer shall promptly give 
notice of his decision to all parties. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Sections 
19130 and 19132, Government Code; and Section 10337, Public Contract Code. 

History 

1. New article 2 (sections 547.64-547.65) and section filed 5-3-99; operative 
5-3-99 pursuant to Government Code section 1 1 343.4(d) (Register 99, No. 1 9). 

2. Change without regulatory effect renumbering former article 2 heading to ar- 
ticle 3 filed 2-7-2000 pursuant to section 100, title 1 , California Code of Regu- 
lations (Register 2000, No. 6). 



§ 547.65. Evidentiary Hearing. 

(a) Request for a Board Hearing. The employee organization may re- 
quest that, in lieu of the executive officer making a decision approving 
or disapproving the disputed contract, the disputed contract be referred 
to the board for a hearing. To make such a request, the employee organi- 
zation shall include with its request for review written arguments, evi- 
dence, and/or declarations that show good cause exists for scheduling a 
hearing for the purpose of receiving evidence and hearing arguments 
concerning the propriety of the disputed contract. 

(h) Good Cause. In order to show that good cause exists for referring 
the disputed contract for a hearing for the purpose of taking evidence and 
hearing arguments, the employee organization must show that there are 
disputed issues of material fact regarding the contract that must be re- 
solved before a determination is made as to whether the disputed contract 
meets the criteria of Government Code §19130 and that an evidentiary 
hearing is necessary to resolve these disputed issues of material fact. 

(c) Executive Officer Determination. The determination as to wheth- 
er the employee organization has shown that good cause exists for refer- 
ring the disputed contract for an evidentiary hearing shall be made by the 
executive officer. If the executive officer determines that good cause 
does not exist for referring the disputed contract for an evidentiary hear- 
ing, the contract review process shall proceed as an investigation, and the 
executive officer shall issue a decision approving or disapproving the 
contract. 

(d) Conduct of an Evidentiary Hearing. Upon finding that the em- 
ployee organization has shown good cause for referring the disputed con- 
tract for an evidentiary hearing, the executive officer shall refer the con- 
tract to an administrative law judge or other authorized representative of 
the board to conduct an evidentiary hearing and submit a proposed deci- 
sion to the board in accordance with the procedures set forth in Govern- 
ment Code, Title 2, Division 5, Part 2, Chapter 2, Article 2 (commencing 
with §18670) and Chapter 7, Article 1 (commencing with §19570), and 
the board regulations promulgated thereunder. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Sections 
19130, 19131 and 19132, Government Code; and Section 10337, Public Contract 
Code. 

History 
1 . New section filed 5-3-99; operative 5-3-99 pursuant to Government Code sec- 
tion 11343.4(d) (Register 99, No. 19). 

Article 4. Procedures for Appealing an 

Executive Officer's Decision Approving or 

Disapproving a Contract Under Government 

Code §191 30(a) or §191 30(b) to the Board 

§ 547.66. Appeal from an Executive Officer's Decision. 

Any party may appeal the executive officer's decision to the board by 
filing a written request with the board within 30 days after issuance of the 
executive officer's decision. (See §547. 64(b).) Upon receipt of a timely 
appeal, the executive officer shall schedule the matter for briefing and 
oral arguments before the board. The board will decide the appeal upon 
the factual information, documentary evidence, and declarations sub- 
mitted to the executive officer before he or she issued his or her decision. 
Upon the objection of a party, the board will not accept additional factual 
information, documentary evidence, or declarations that were not pre- 
viously filed with the executive officer if the board finds that the submis- 
sion of this additional factual information, documentary evidence, or 
declarations would be unduly prejudicial to the objecting party. 
NOTE: Authority cited: Section 18701, Government Code. Reference: Sections 
1 8654.5, 1 8670, 1 9 1 30, 19 1 3 1 and 1 9 1 32, Government Code; and Section 10337, 
Public Contract Code. 

History 
1. New article 3 (section 547.66) and section filed 5-3-99; operative 5-3-99 pur- 
suant to Government Code section 1 1343.4(d) (Register 99, No. 19). 



Page 40.1 



Register 2008, No. 1; 1-4-2008 



§ 547.67 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



2. Change without regulatory effect renumbering former article 3 heading to ar- 
ticle 4filed 2-7-2000 pursuant to section ]00,litle I.California Code of Regu- 
lations (Register 2000, No. 6). 



Article 5. Procedures that Apply to Review 

Proceedings for Contracts Executed Under 

Government Code §191 30(a) or §191 30(b) 

§ 547.67. General Procedures. 

(a) Continuances and Extensions. The executive officer may grant 
continuances of oral arguments before the board and extensions of time 
for briefs or other documents for those oral arguments upon the consent 
of all parties or for good cause shown. 

(b) Filing. Requests for review, agency responses, briefs, and other 
documents may be filed with the board by facsimile sent to the chief 
counsel's office. A document will be considered filed with the board 
when the board actually receives it. 

(c) Service. Requests for review, agency responses, briefs and other 
documents shall be served upon all other parties by personal delivery, 
facsimile, telecopy, express mail or other means designed to ensure that 
they are received by the other parties on the same day they are filed with 
the board. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Sections 
18670, 19130, 19131 and 19132, Government Code; and Section 10337, Public 
Contract Code. 

History 

1. New article 4 (sections 547.67-547.68) and section filed 5-3-99; operative 
5-3-99 pursuant to Government Code section 1 1343.4(d) (Register 99, No. 19). 

2. Change without regulatory effect renumbering former article 4 heading to ar- 
ticle 5 filed 2-7-2000 pursuant to section 100, title 1, California Code of Regu- 
lations (Register 2000, No. 6). 

§ 547.68. Intervention. 

(a) At any lime after an employee organization requests that that board 
review a contract for compliance with Government Code §191 30(a) or 
§191 30(b), a contractor to the disputed contract may move to intervene 
as a party in the contract review process. Either the executive officer, ad- 
ministrative law judge or authorized representative who conducts an evi- 
dentiary hearing, or board, may grant a motion for intervention if all the 
following conditions are satisfied: 

(1) A written motion is filed with the board, with copies served upon 
the state agency and the employee organization. 

(2) The motion is made as early as practicable. 

(3) The motion states facts demonstrating that the applicant has an in- 
terest in the disputed contract that may be affected by a decision upon that 
contract or that the applicant qualifies as an intervenor under a statute or 
regulation. 

(4) The executive officer, administrative law judge, authorized repre- 
sentative or board determines that the interests of justice and the orderly 
and prompt conduct of the contract review process will not be impaired 
by allowing the intervention. 

(b) If an applicant qualifies for intervention, the executive officer, ad- 
ministrative law judge, authorized representative or board may impose 
conditions on the intervener's participation in the contract review pro- 
cess, either at the time that intervention is granted or at a subsequent time. 
Conditions include, but are not limited to, the following: 

(1) Limiting the intervener's participation to designated issues in 
which the intervenor has a particular interest demonstrated by the mo- 
tion. 

(2) Limiting or excluding the intervener's participation in any pro- 
ceedings so as to promote the orderly and prompt conduct of the execu- 
tive officer's investigation, the administrative law judge's or authorized 
representative's evidentiary hearing, or the oral arguments before the 
board. 

(3) Requiring two or more interveners to combine their presentations 
of evidence and arguments, and other participation during the executive 



officer's investigation, the administrative law judge's or authorized rep- 
resentative's evidentiary hearing, or oral arguments before the beard. 

(4) Limiting or excluding the intervener's participation in settlement 
negotiations. 

(c) As eariy as practicable in advance of the executive officer's investi- 
gation, the administrative law judge's or authoiized representative's evi- 
dentiary hearing, or oral arguments before the board, the executive offi- 
cer, administrative law judge, authorized representative or board shall 
issue an order granting or denying the motion for intervention, specifying 
any conditions, and briefly stating the reasons for the order. The execu- 
tive officer, administrative law judge, authorized representative or board 
may modify the order at any time, stating the reasons for the modifica- 
tion. The executive officer, administrative law judge, authorized repre- 
sentative or board shall promptly give notice of an order granting, deny- 
ing, or modifying intervention to the applicant and to all parties. 

(d) Whether the interests of justice and the orderly and prompt conduct 
of the contract review process shall be impaired by allowing intervention 
is a determination to be made in the sole discretion, and based on the 
knowledge and judgment at that time, of the executive officer, adminis- 
trative law judge, authorized representative or beard. The determination 
is not subject to administrative or judicial review. 

(e) If a contractor's motion for intervention is denied, the executive of- 
ficer, administrative law judge, authorized representative or board may 
permit that contractor to submit written arguments and participate in the 
executive officer's invesfigatien, the evidentiary hearing before the ad- 
ministrative law judge or authorized representative, or oral arguments 
before the board as the executive officer, administraUve law judge, au- 
thorized representative or board may deem appropriate under the circum- 
stances. 

Note: Authority cited: Section 18701, Government Code. Reference: Sections 
1 1440.50, 19130, 19131 and 191 32, GovemmentCode; and Section 10337, Public 
Contract Code. 

History 

1 . New section filed 5-3-99; operative 5-3-99 pursuant to Government Code sec- 
tion n343.4(d) (Register 99, No. 19). 

2. Change without regulatory effect correcting reference citation to Government 
Code section 1 1440.50 filed 5-4-99 pursuant to secfion 100, title 1, California 
Code of Regulations (Register 99, No. 19). 

Article 6. Procedures that Apply to 

Contracts Under Government Code 

§19130(3) 

§ 547.69. State Agency Notice of Intent to Execute Cost 
Savings Personal Services Contract. 

(a) Any state agency proposing to execute a contract pursuant to Gov- 
ernment Code section 19130(a), shall file with the board a Notice of In- 
tent to Execute Personal Services Contract. 

(b) The Notice of Intent shall include the following: 

(1) A complete copy of the proposed contract; 

(2) The following information with respect to these civil service em- 
ployees who would otherwise perform the services to be rendered under 
the contract: 

(A) The number of civil service employees in each classification who 
would otherwise perform the services; 

(B) The number of hours required for each civil service employee to 
perform the services; 

(C) The base hourly wage, as set forth in the State of California Civil 
Service Pay Scale, that the agency would be required to pay civil service 
employees to perform those services to be rendered under the contract. 

(i) The cost of any employee benefits, as set forth in section (b)(2)(D), 
direct overhead costs, as set forth in section (b)(2)(E), indirect overhead 
costs, as set forth in section (b)(2)(F), or any ether costs, shall not be in- 
cluded in the base hourly wage calculation, unless specifically autho- 
rized by this section; 

(ii) The cost of any recruitment or retention pay bonus or differential, 
or any geographic pay bonus or differential, that the agency is required 



Page 40.2 



Register 2008, No. 1; 1-4-2008 



Title 2 



State Personnel Board 



§ 547.69 



by law or collective bargaining agreement to pay to employ civil service 
employees to perform those services to be rendered under the contract, 
shall be calculated as part of the base hourly wage. If the bonus or differ- 
ential is disbursed as a lump sum payment, the cost of the bonus or differ- 
ential shall be amortized over the term of the proposed contract. The cost 
of any remuneration paid to an employee due to the employee possessing 
specialized skills or abilities (e.g., bilingual verbal and written skills), 
shall not be included as part of the base hourly wage, unless the special- 
ized skill or ability is a prerequisite for employment in the civil service 
position that performs those services to be rendered under the contract. 
The state agency shall provide detailed, factual information concerning 
its assertion that it is required to pay any recruitment or retention pay bo- 
nus or differential, or any geographic pay bonus or differential, or that it 
incurs any additional costs to compensate individuals with speciahzed 
skills or abilities, in order to employ civil service employees to perform 
those services to be rendered under the contract. 

(D) The hourly cost of employee benefits the agency would be re- 
quired to provide to each civil service employee to perform those services 
to be rendered under the contract. 

(i) For those proposed contracts not subject to the provisions of Gov- 
ernment Code section 19134, employee benefits shall be itemized and 
limited to the following: health insurance premiums; dental insurance 
premiums; vision insurance premiums; employer contributions to em- 
ployee retirement plans, including social security; paid holidays; sick 
leave benefits; and vacation leave benefits. For purposes of this section, 
hourly benefit costs shall be derived by calculating the annual cost per 
employee for each specified benefit, divided by the number of hours each 
employee is employed on an annual basis. The state agency shall also dis- 
close the basis for, and methodology utihzed, in arriving at its conclu- 
sions as to the annual cost for each specified employee benefit; 

(ii) For those proposed contracts subject to the provisions of Govern- 
ment Code section 19134, hourly benefit costs shall be established using 
rates based on single employee, employee plus one dependent, and em- 
ployee plus two or more dependents, or the costs may be based on a 
blended rate, as set forth in the "Personal Services Contract Pay Rates" 
published by the Department of Personnel Administration. To the extent 
that the hourly benefit rates established by the Department of Personnel 
Administration consist of items that would otherwise be categorized un- 
der the base hourly wage, direct overhead cost, or indirect overhead cost 
provisions of this section, the agency may only include those items as 
hourly benefit costs; 

(E) The hourly cost of direct overhead costs the state agency would in- 
cur if it employed civil service employees to perform those services to be 
rendered under the contract. 

(i) For purposes of this section, direct overhead costs shall be itemized 
and include, but not be limited to, the following: workers compensation 
insurance budget costs; unemployment insurance budget costs; disability 
insurance budget costs; additional rent and utilities that would only be in- 
curred if the services in question were performed by the civil service; 
additional equipment and materials needed to perform those services to 
be rendered under the contract that would only be incurred if the services 
in question were performed by the civil service; uniforms; training man- 
dated by law or otherwise required by the agency; background investiga- 
tions, medical examinations, or drug testing, mandated by law or other- 
wise required by the agency; and reimbursement for licenses, 
certificates, or similar requirements needed before a civil service em- 
ployee can perform those services to be rendered under the contract. For 
purposes of this section, hourly direct overhead costs shall be derived by 
calculating the annual cost per employee for each specified direct over- 
head cost, divided by the number of hours each employee is employed 
on an annual basis. The state agency shall also disclose the basis for, and 
methodology utilized, in arriving at its conclusions as to the annual cost 
for each specified direct overhead cost; 

(ii) The cost of any equipment necessary to perform the contracted-for 
services claimed as a direct overhead cost shall be calculated by estab- 



lishing the cost incurred each year by the contracting agency for the use 
of the equipment. (For example, a laptop computer purchased at an initial 
cost of $2,000.00. depreciates at a rate of $500.00 per year for each year 
of use. For a contract of three years duration, the state agency can claim 
computer equipment costs of $500.00 per year, for a total contract cost 
of $1,500.00.) If the equipment is leased, the contracting agency can 
claim the annual lease cost of the equipment as an annual direct overhead 
cost. The state agency shall disclose the basis for, and methodology uti- 
lized, in arriving at its conclusions as to the annual cost for each piece of 
equipment identified as a direct overhead cost incurred in the perfor- 
mance of the contracted-for services. 

(iii) The cost of any uniforms claimed as a direct overhead cost shall 
be calculated by establishing the cost incurred each year by the contract- 
ing agency for the purchase of uniforms. (For example, for a contract of 
four years duration, the state agency purchases uniforms for each civil 
service employee at a cost of $200.00 during the first year of the contract, 
and $200.00 during the third year of the contract, for a total of $400.00 
during the four year contract term. The state agency can claim $100.00 
per employee, per year, in uniform costs.) In those instances where the 
civil service employee receives an annual uniform allowance, the annual 
uniform allowance shall be allowed as a direct overhead cost. The state 
agency shall disclose the basis for, and methodology utilized, in arriving 
at its conclusions as to the annual cost for each uniform cost identified 
as a direct overhead cost. 

(iv) Any other costs incurred by the state agency when employing civil 
service employees to perform the contracted-for services, and claimed 
by the state agency as a direct overhead cost, including, but not hmited 
to, the cost of background investigations, medical examinations, drug 
testing, license procurement, certificate procurement, or training, shall 
be calculated by establishing the cost incurred each year by the contract- 
ing agency for each cost claimed. (For example, for a contract of four 
years duration, the state agency conducts drug testing for each civil ser- 
vice employee at a cost of $200.00 during the first year of the contract, 
and $200.00 during the third year of the contract, for a total of $400.00 
during the four year contract term. The state agency can claim $100.00 
per employee, per year, in drug testing costs.) The state agency shall dis- 
close the basis for, and methodology utilized, in arriving at its conclu- 
sions as to the annual cost for each expense identified as a direct overhead 
cost. 

(F) The hourly cost of indirect overhead costs the state agency would 
incur if civil service employees were to perform those services to be ren- 
dered under the contract. Indirect costs shall not be included unless the 
cost can be attributed solely to the function in question and would not ex- 
ist if that function were not performed in state service. 

(i) For purposes of this section, indirect overhead costs shall be item- 
ized and include, but not be limited to, the following: the pro rata share 
of existing administrative salaries and benefits (including managers who 
do not directly supervise the civil service employees performing those 
services to be rendered under the contract, human resources staff who 
process the recruitment, hiring, and separation of the civil service em- 
ployees performing those services to be rendered under the contract, and 
executive management staff who have oversight of the program(s) im- 
pacted by the contract), rent, utilities, equipment costs and materials. For 
purposes of this section, hourly indirect overhead costs shall be derived 
by calculating the annual pro rata cost per employee for each specified 
indirect overhead cost incurred as a result of the agency performing those 
services to be rendered under the contract, divided by the number of 
hours each employee is employed on an annual basis. The state agency 
shall also disclose the basis for, and methodology utilized, in arriving at 
its conclusions as to the annual cost for each specified indirect overhead 
cost; 

(G) The total hourly cost, based on those costs set forth in subdivisions 
(C) through (F), the state agency would incur for each civil service em- 
ployee, if civil service employees were to perform those services to be 
rendered under the contract. 



Page 40.3 



Register 2008, No. 1; 1-4-2008 



§ 547.70 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



(H) A statement explaining why existing civil service employees can- 
not be re-directed or otherwise utilized to perform those services to be 
rendered under the contract. 

(3) The following information with respect to the contract employees 
who are to perform the services to be rendered under the contract: 

(A) The number of employees required to perform each of the services 
to be rendered under the contract; 

(B) The number of hours each employee shall perform services under 
the contract; 

(C) The base hourly wage that will be paid to each contract employee 
performing a function under the contract that would otherwise be per- 
formed by the civil service. 

(i) The contractor shall verify that the cost of any employee benefits, 
as set forth in section (b)(3)(D), direct overhead costs, as set forth in sec- 
tion (b)(3)(E), or any other costs incurred by the contractor, shall not be 
included in the base hourly wage calculation, unless specifically autho- 
rized by this section. The contractor shall also verify that it is in com- 
pliance with all applicable state and federal labor laws; 

(ii) The cost of any recruitment or retention pay bonus or differential, 
or any geographic pay bonus or differential, that the contractor is re- 
quired to pay to employ private employees to perform those services to 
be rendered under the contract, shall be calculated as part of the base 
hourly wage. If the bonus or differential is disbursed as a lump payment, 
the cost of the bonus or differential shall be amortized over the term of 
the proposed contract. The cost of any remuneration paid to an employee 
due to the employee possessing specialized skills or abilities (e.g., bilin- 
gual verbal and written skills), shall not be included as part of the base 
hourly wage, unless the specialized skill or ability is a prerequisite to per- 
form those services to be rendered under the contract. The state agency 
shall provide detailed, factual information concerning its assertion that 
the contractor is required to pay any recruitment or retention pay bonus 
or differential, or any geographic pay bonus or differential, or that the 
contractor incurs any additional costs to compensate individuals with 
specialized skills or abilities, in order to employ private employees to 
perform those services to be rendered under the contract. 

(D) The hourly cost of employee benefits that will be provided to each 
contract employee. 

(i) For those proposed contracts not subject to the provisions of Gov- 
ernment Code section 19134, employee benefits shall be itemized and 
limited as set forth in section (b)(2)(D)(i), supra; 

(ii) For those proposed contracts subject to the provisions of Govern- 
ment Code section 19134, hourly benefit costs shall be established as set 
forth in Section (b)(2)(D)(ii), supra; 

(iii) Pursuant to Government Code section 19134, subdivision (d), if, 
in lieu of providing actual benefits as listed in subdivision (b)(3)(D)(i) of 
this section, the private contractor intends to provide a cash equivalent, 
the amount of the cash equivalent shall be equal to the applicable deter- 
mination under subdivision (b)(3)(D)(ii) of this section; 

(E) The hourly cost of direct overhead costs the private contractor will 
incur for each employee employed under the contract. 

(i) For purposes of this section, direct overhead costs shall be itemized 
and include, but not be Umited to, those items set forth in Section 
(b)(2)(E)(i) and (ii), supra; 

(F) The total hourly amount the private contractor will charge the state 
agency for each contract employee to perform those services to be ren- 
dered under the contract. 

(G) The annual costs the state agency will incur for activities related 
to inspection, supervision and monitoring activities to ensure proper ad- 
ministration of the contract. Inspection, supervision, and monitoring 
costs shall include, but not be limited to, the pro rata share of existing ad- 
ministrative salaries and benefits necessary for supervising and monitor- 
ing the contract, including costs associated with personnel supervision, 
invoice review, and the contract bidding process. Inspection, supervision 
and monitoring costs shall also include additional security or other risk 
costs incurred by the agency as a result of the contract. The state agency 
shall disclose the basis for, and methodology utilized, in arriving at its 



conclusions as to the annual contract inspection, supervision and moni- 
toring costs, and specify the number of hours expended annually by 
agency staff, on a position-by-position basis, on contract inspection, su- 
pervision and monitoring duties. If no costs are claimed for oversight, the 
state agency shall provide the factual basis for its assertion; 

(4) The industry level hourly wage for those services to be rendered 
under the contract. The term "industry level hourly wage " as used in this 
section means the prevailing hourly rate of pay for the type of work in 
question in the local area where the contract would be let, as measured 
by reliable and statistically representative wage surveys such as those 
conducted by the Department of Industrial Relations or the Bureau of La- 
bor Statistics. In the event that the most recent relevant wage survey data 
published by the Department of Industrial Relations differs from the 
wage survey data pubhshed by the Bureau of Labor Statistics, the board 
shall rely upon the wage survey data published by the Department of In- 
dustrial Relations, unless the wage survey data published by the Bureau 
of Labor Statistics is based on more recent information. The state agency 
shall identify the wage survey utilized and the date it was issued, and shall 
specify whether the wage is calculated in terms of mean or median wage. 

(5) That the contract will not result in the displacement of civil service 
employees. 

(A) For purposes of this section, displacement shall be limited to: lay- 
off; involuntary demotion; involuntary transfer to a new class; involun- 
tary transfer to a new location requiring a change of residence, and as de- 
fined in Department of Personnel dministration regulations; and time 
base reductions. Displacement does not include: changes in shifts or days 
off; reassignment to other positions within the same class and general 
geographic location; 

(6) That the contract will not have an adverse impact on State Equal 
Employment Opportunity efforts, as set forth in Section 547.74; 

(7) That the contract was awarded through a publicized, competitive 
bidding process; 

(8) That the contract includes specific provisions pertaining to the 
qualifications of the staff who will perform each aspect of the work under 
the contract, as well as assurances that the contractor's hiring practices 
meet applicable nondiscrimination standards; 

(9) That the potential for future economic risk to the state from poten- 
tial contractor rate increases is minimal. 

(10) That the contract is with a firm. 

(A) A firm means a corporation, partnership, nonprofit organization, 
or sole proprietorship; and 

(11) That the potential economic advantage of contracting is not out- 
weighed by the public's interest in having a particular function per- 
formed directly by the state government. 

(12) The state agency shall submit documentary evidence and/or dec- 
larations in support of the information provided by the state agency in ac- 
cordance with the requirements of subsections (2) through (11). 

(c) The board shall, within 5 days of receipt of the Notice of Intent to 
Execute Personal Services contract, forward a copy of the Notice to the 
employee organization(s) that represent(s) those civil service employees 
who would otherwise perform those duties to be rendered under the con- 
tract. 

NOTE: Authority cited: Sections 18211, 18216 and 18701, Government Code. 
Reference:Sectionsl8670, 19130, 19131 and 19134, GovemmentCode;and Sec- 
tion 10337, Public Contract Code. 

History 

1 . Change without regulatory effect adding new article 5 (sections 547.69-547.71) 
and renumbering former section 279.2 to section 547.69 filed 12-1-99 pursuant 
to section 100, title 1, California Code of Regulations (Register 99, No. 49). 

2. Change without regulatory effect renumbering former article 5 heading to ar- 
ticle 6 filed 2-7-2000 pursuant to section 100, title 1, California Code of Regu- 
lations (Register 2000, No. 6). 

3. Amendment of article heading, renumbering of former section 547.69 to section 
547.72 and new section 547.69 filed 1-3-2008; operative 2-2-2008 (Register 
2008, No. 1). 

§ 547.70. Employee Organization's Request for Review. 

(a) Any employee organization that receives notification from the 
board, pursuant to Government Code section 19131, of a state agency's 



• 



Page 40.4 



Register 2008, No. 1; 1-4-2008 



Title 2 



State Personnel Board 



§ 547.74 



• 



Notice of Intent to Execute Personal Services contract siiall, within 15 
days of the date of such notice having been mailed to the employee orga- 
nization, be entitled to file with the board and to serve upon the state 
agency, a lequest for review of the contract for compliance with the re- 
quirements of Government Code section 19130(a). The employee orga- 
nization's request for review shall identify the contract to be reviewed 
and include the following: 

(1) Specific and detailed factual information that demonstrates how 
the contract fails to meet the conditions specified in Government Code 
section 19130(a); and 

(2) Documentary evidence and/or declarations in support of the em- 
ployee organization's position. 

(b) The employee organization shall file a proof of service with the 
board that states when and how it served a copy of its request for review 
upon the state agency. 

NOTE: Authority cited: Sections 18211, 18216 and 18701, Government Code. 
Reference: Sections 18670, 19130, 19131 and 191 34, Government Code; and Sec- 
tion 10337, Public Contract Code. 

History 

1. Change without regulatory effect renumbering and amending former section 

279.3 to section 547.70 filed 12-1-99 pursuant to section 100, title 1, California 
Code of Regulations (Register 99, No. 49). 

2. Renumbering of former section 547.70 to section 547.74 and new section 

547.70 filed 1-3-2008; operative 2-2-2008 (Register 2008, No. 1). 

§ 547.71 . State Agency Reply. 

(a) Within 10 days after receipt of service of the employee organiza- 
tion's request for review, the state agency may file with the board and 
serve upon the employee organization and the proposed contractor(s) a 
written reply to the employee organization's request. 

(b) The state agency shall file a proof of service with the board that 
states when and how it served a copy of its reply upon the employee orga- 
nization and the proposed contractor(s). 

NOTE: Authority cited: Sections 18211, 18216 and 18701, Government Code. 
Reference: Sections 18670, 19130, 19131 and 19134, Government Code; and Sec- 
tion 10337, Public Contract Code. 

HrSTORY 

1. Change without regulatory effect renumbering and amending former section 

279.4 to section 547.71 filed 12-1-99 pursuant to section 100, title 1, California 
Code of Regulations (Register 99, No. 49). 

2. Renumbering of former section 547.71 to section 547.73 and new section 

547.71 filed 1-3-2008; operative 2-2-2008 (Register 2008, No. 1). 

§ 547.72. Undercut of State's Wage in Cost-Savings Based 
Contracts. 

When a Personal Services Contract is based on cost savings, a contrac- 
tor's wages shall be at or above the industry ' s level and shall not undercut 
the State's pay rate for comparable work by more than 15%, except that 
if in a nonmetropolitan area of the State the contractor's rate of pay is 
more than 15% below the state rate, the contract may be approved if the 
contractors rate of pay is closer to the State rate than it is to the compara- 
ble industry rate in the local area. In no case shall a contractor's wages 
be more than 25% below the State's pay rate. Comparison of wages for 
this purpose shall not include the cost of benefits. 

(a) Comparison of the contractor's and State's hourly rates will be 
made as follows: 

(1) For contracts of one year or less duration, comparison shall be to 
the first step of the salary range of the class designated as the type of work 
performed by the Personal Services Contract except for classes with a 
special in-grade salary adjustment (SISA). In this case, comparison shall 
be made to the midpoint between the first and second steps. 

(2) For contracts with durations of over one year up to two years, com- 
parison shall be to the midpoint between the first and second steps of the 
salary range of the class designated as the type of work performed by Per- 
sonal Services Contract except for classes with a SISA. Comparison in 
this case shall be made to the second step. 



(3) For contracts with duraUons of over two years, comparison shall 
be to the second step of the salary range of the class designated as the type 
of work performed by Personal Services Contract. 

(b) Cost-savings based Personal Services Contracts with duration of 
more than one year shall contain a clause indicating that in the event of 
an increase in the State's pay rates, the contractor's wage rate will be re- 
viewed and adjusted in subsequent years of the contract so as not to ex- 
ceed the relationship with State and industry rates identified in the first 
paragraph of this section. 

(c) The term "industry rate" as used in this secfion means the prevail- 
ing hourly rate of pay for the type of work in question in the local area 
where the contract would be let, as measured by reliable and stafistically 
representadve wage surveys such as those conducted by the Bureau of 
Labor Stafistics or the Department of Industrial Relations. In the event 
that the most recent relevant wage survey data published by the Depart- 
ment of Industrial Relations differs from the wage survey data published 
by the Bureau of Labor Stafistics, the board shalJ rely upon the wage sur- 
vey data published by the Department of Industrial Relafions, unless the 
wage survey data published by the Bureau of Labor Stafistics is based on 
more recent information. 

NOTE: Authority cited: Sections 18211, 18216 and 18701, Government Code. 
Reference: Section 19130(a)(2), Government Code. 

History 
1 . Renumbering of former section 547.69 to section 547.72, including amendment 

of subsection (c) and Note, filed 1-3-2008; operative 2-2-2008 (Register 

2008, No. 1). 

§ 547.73. Amount of Savings 

(a) Savings generated through cost-savings based personal services 
contracfing must justify the size and duration of the contracting agree- 
ment. To do so, such contracts must meet one of the following criteria: 

( 1 ) Achieve a savings of 1 0% or more compared to the cost of perform- 
ing the same funcfion within the civil service over the duration of the con- 
tract; or 

(2) Achieve a savings of at least $50,000, in terms of 1988 dollars, per 
year compared to the cost of performing the same function within the civ- 
il service over the durafion of the contract, provided that the savings equal 
at least 5% of the comparable civil service cost. The $50,000 standard 
shall be adjusted at the beginning of each fiscal year to reflect changes 
in the California Consumer Price Index as reported by the Department of 
Industrial Relafions, and the adjusted figure shall be communicated by 
Board staff to all departments. 

(b) Such savings need not be attained during each year of a mulfiyear 
contract, providing the overall savings meet one of the aforestated re- 
quirements. 

NOTE; Authority cited: Sections 18211, 18216 and 18701, Government Code. 
Reference; Sections 19130(a)(5) and 19130(a)(6), Government Code. 

History 
1. Renumbering of former section 547. 71 to section 547.73, including amendment 
of Note, filed 1-3-2008; operative 2-2-2008 (Register 2008, No. 1). 

§ 547.74. Equal Employment Opportunity Impact. 

No state agency may enter into a cost savings contract under Secfion 
19130, subdivision (a) unless the agency can establish: 

(a) Approval of the contract wUl not unreasonably interfere with the 
ability of the agency to comply with its equal employment opportunity 
plan; and 

(b) The contractor is in compliance with the statutes and regulafions 
administered by the Department of Fair Employment and Housing. 
NOTE: Authority cited: Sections 18211, 18216 and 18701. Government Code. 
Reference: Sections 11135-11139.8, 19130(a)(4), 19130(a)(8), 19790, 19791, 
19793, 19794, 19797 and 19798.5, Government Code; and Section 1431, Labor 
Code. 

History 

1 . Renumbering of former section 547.70 to section 547.74, including amendment 
of section heading, repealer and new section and amendment of Note, filed 
1-3-2008; operative 2-2-2008 (Register 2008, No. 1). 



Page 40.5 



Register 2008, No. 1; 1-4-2008 



§ 547.80 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



Subchapter 1.7. Equal Employment 
Opportunity Program 



Article 1 . 



State Work Force Data Collection 
and Evaluation 



§ 547.80. Definitions. 

The following definitions shall be used for work force data collection 
and evaluation of equal employment opportunity within state civil ser- 
vice, including those activities related to layoff: 

(a) "Class" means a group of positions as defined in Government Code 
Section 18523. 

(b) "Racial/Ethnic Group" includes persons who are members of one 
of the following groups: American Indian/Native American, Asian, 
Black/African American, Filipino, Hispanic, Pacific Islander, and 
White. These groups are defined as follows: 

(1) "American Indian/Native American" means any person who is a 
member of an American Indian Tribe or band recognized by the Federal 
Bureau of Indian Affairs, or has at least one-quarter American Indian 
blood quantum of tribes or bands indigenous to the United States or Can- 
ada. 

(2) "Asian" means any person whose origin is the Far East, Southeast 
Asian or the Indian subcontinent and includes, for example, China, Ja- 
pan, and Korea. 

(3) "Black/African American" means any person whose origin is any 
of the Black racial groups of Africa. 

(4) "Filipino" means any person whose origin is the Philippine Islands. 

(5) "Hispanic" means any person whose origin is Mexico, Puerto Rico, 
Cuba, Spain, or the Spanish-speaking countries of Central or South 
America. It does not include persons of Portuguese or Brazilian origin, 
or persons who acquired a Spanish surname; 

(6) "Pacific Islander" means any person whose origin is in any of the 
original peoples of Hawaii, Guam, Samoa, or other Pacific Islands. 

(7) "White" means any person whose origin is Caucasoid. 

(c) "Occupational Group" means a group of jobs or classes that in- 
cludes the entry level, other working levels, and supervisory levels with- 
in the same general occupational field of work; 

(d) "Relevant Labor Force" means the pool of individuals who possess 
the requisite qualifications for the job within the geographic area in 
which the agency can reasonably expect to recruit. 

(e) "Statistically Significant" means the degree of underutilization is 
equal to or greater than the .05 level of significance using the one-tailed 
ZTest method of statistical analysis outlined in Appendix 4 of ihe Interim 
Guidelines for Conducting the Annual Analysis of the Slate Work Force, 
issued March 2002, by the State Personnel Board. This document is here- 
by incorporated by reference in its entirety. Using this methodology, a 
computed Z value of 1 .65 or greater is sufficient to conclude that any un- 
derutilization is statistically significant. 

(f) "Underutilization" means having fewer persons of a particular 
group in an occupation or at a level in a department than would reason- 
ably be expected by their availability in the relevant labor force. 

(g) "Work Force" means incumbents in full-time and other-than- 

full-time positions in the state civil service employed by the appointing 

authority. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Sections 
11092.5, 18523, 19702.1, 19790, 19791 and 19792, Government Code; Title VII 
of the Civil Rights Act of 1964, 42 USC, Sections 2000e-2 et seq.; "Revisions to 
the Standards for the Classification of Federal Data on Race and Ethnicity," Feder- 
al Register, October 30, 1997; Connerly v. State Personnel Bd. (2001) 92 Cal. 
App. 4th 16; and Hazelwood School District v. United States (1977), 433 U.S. 299, 
308, fn. 14. 

History 

1. New subchapter 1.7, article 1 (sections 547.80-547.81) and section filed 
9-25-2000; operative 9-25-2000 (Register 2000, No. 39). This regulatory ac- 



tion was subject to limited review by OAL and is exempt from those provisions 
of the Administrative Procedure Act specified in section 18215(b) of the Gov- 
ernment Code. 
2. Amendment of subchapter heading, article heading, section and Note filed 
5-7-2003 subject to partial compliance with the Administrative Procedure Act 
and limited review by the Office of AdminisU-ative Law pursuant to Govern- 
ment Code section 1821 5; effective on filing pursuant to Government Code sec- 
tion 11343.4 (Register 2003, No. 19). 

§ 547.81. Establishment of Annual Equal Employment 

Opportunity Goals for Minorities and Women. 

NOTE; Authority cited: Section 18701, Govemment Code. Reference: Sections 
1 1092.5, 19702.1 and 19790. Govemment Code; Title Vll of the Civil Rights Act 
of 1964, 42 USC, Sections 2000e-2 et seq.; Wygant v. Jackson Board of Educa- 
tion. 476 U.S. 267 (1986); Johnson v. Santa Clara Transportation Agency, 480 
U.S. 616 (1987); and Wards Cove Packing Co. v. Atonio, 490 U.S. 642 (1989). 

History 

1 . New section filed 9-25-2000; operative 9-25-2000 (Register 2000, No. 39). 
This regulatory action was subject to limited review by OAL and is exempt from 
those provisions of the Administrafive Procedure Act specified in secfion 
18215(b) of the Govemment Code. 

2. Repealer filed 5-7-2003 subject to partial compliance with the Administrative 
Procedure Act and limited review by the Office of Administrative Law pursuant 
to Govemment Code section 1 821 5; effective on filing pursuant to Govemment 
Code section 1 1343.4 (Register 2003, No. 19). 



Subchapter 1.8. Upward Mobility 



Article 1. Definitions 

§ 547.82. Definitions. 

For purposes of this Subchapter: 

(a) "Bridging Career Ladders" and "Career Ladders and Lattices" 
mean the succession of job classifications in which employees may nor- 
mally gain experience in order to advance from positions in low-paying 
occupations into technical, professional, or administrative positions. 

(b) "Bridging Classifications" mean job classifications established to 
provide experience for employees in low-paying occupations that meets 
the minimum qualifications for traditional entry technical, professional, 
and administrative classifications. 

(c) "Career Development Plan" means an employee's written plan for 
advancement, which identifies a career goal and the specific self-devel- 
opment actions, including, but not limited to, work experiences, college 
courses, and training classes, needed to achieve the goal. 

(d) "Entry Technical, Professional, and Administrative Positions" 
mean those positions in technical, professional, and administrative clas- 
sifications for which hiring is typically open to the public and into which 
employees in low-paying occupations may advance. 

(e) "Good Faith Effort" means that the department can demonstrate by 
its actions that it is fully complying with all upward mobility statutes and 
regulations. 

(f) "Low-Paying Occupations" mean the following groups of classifi- 
cations identified in the California Civil Service Pay Scales (Pay Scales), 
50th Edition, as published by the Cahfomia Department of Personnel 
Administration: Horticulture; Office and Allied Services; Custodian and 
Domestic Services; Mechanical and ConstrucUon Trades; and bridging 
and career development classifications in other occupational areas. 

(g) "Technical, Professional, and Administrafive Classificafions" 
mean classificafions in the following occupational categories identified 
in the Pay Scales: Agriculture and Conservation; Education and Library; 
Engineering and Allied Services; Fiscal, Management and Staff Ser- 
vices; Legal; Medicine and Alhed Services; State Emergency Disaster 
Program; Protecfive Services and Pubhc Safety; and Social Security and 
Rehabilitafion Services. 

(h) "Upward Mobility" means the development and advancement of 
employees from posifions in low-paying occupations to entry technical, 
professional, and administrafive positions. 

NOTE: Authority cited: Secfion 18701, Govemment Code. Reference: Sections 
19400-19403, 19405 and 19406, Govemment Code. 



• 



• 



Page 40.6 



Register 2008, No. 1; 1-4-2008 



Title 2 



State Personnel Board 



§548 



History 
1. New subchapter 1.8 (articles 1-2, sections 547.82-547.87) article 1 (section 
547.82) and section filed 12-21-2000; operative 12-21-2000 pursuant to Gov- 
ernment Code section 18214 (Register 2000, No. 51). 



Article 2. Upward Mobility Program Plans, 
Goals, and Related Procedures 

§ 547.83. Coordinator. 

Each department shall appoint an upward mobility program coordina- 
tor to coordinate, monitor, and report on the department's upward mobil- 
ity program efforts. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Sections 
19400-19403, 19405 and 19406, Government Code. 

History 
1. New article 2 (sections 547.83-547.87) and section filed 12-21-2000; opera- 
tive 12-21-2000 pursuant to Government Code section 18214 (Register 2000, 
No. 51). 

§ 547.84. Plan Elements. 

Each department shall develop and maintain a written upward mobil- 
ity plan as specified in the State Personnel Board' s Guidelines for Admin- 
istering Departmental Upward Mobility Employment Programs (Guide- 
lines), revised July 25, 2000. This document is hereby incorporated by 
reference in its entirety. The plan shall include: 

(a) A policy statement regarding the department's commitment to pro- 
viding equal upward mobility opportunity for its employees in low-pay- 
ing occupations. 

(b) A description of the components of its program consistent with 
Government Code Section 19401, how employees may access the pro- 
gram, and where information about the program may be obtained. 

(c) The roles and responsibilities of the employee, the employee's su- 
pervisor, the upward mobility program coordinator, the personnel office, 
the training office, and the equal employment opportunity office regard- 
ing the upward mobility program. 

(d) Criteria for selecting employees in low-paying occupations to par- 
ticipate in the upward mobility efforts described in Government Code 
Section 19401. 

(e) The number of employees in classifications in low-paying occupa- 
tions used by the department; career ladders, bridging classes, and entry 
technical, professional, and administrative classes targeted for upward 
mobility; and planned upward mobility examinations. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Sections 
19400-19403, 19405 and 19406, Government Code. 

History 

1. New section filed 12-21-2000; operative 12-2 1-2000 pursuant to Government 
Code section 18214 (Register 2000, No. 51). 

§ 547.85. Employee Selection. 

(a) Departments shall conspicuously post and otherwise publicize up- 
ward mobility development and job opportunities for a reasonable time 
period, but not less than five working days, to provide an equal opportu- 
nity for interested employees in low-paying occupations to apply. 

(b) Departments shall select employees in low-paying occupations for 
participation in upward mobility activities using criteria that are as objec- 
tive as possible and that can be applied in a consistent manner. Criteria 
shall include, but not be limited to, such factors as upward mobiUty ob- 
jectives; staffing needs; available funds and other resources; employee 
status; employee performance in current position; employee motivation 
and potential for advancement; and the relevance of the training. 

(c) No employee shall be guaranteed advancement under any depart- 
mental upward mobility program, but all interested employees in low- 
paying occupations shall be given equal consideration to participate in 
upward mobility efforts. Employees selected for upward mobility efforts 
shall prepare a career development plan and maintain a satisfactory level 
of performance on the job, in academic courses, and/or in training pro- 
grams to continue in the program. 



NOTE: Authority cited: Secfion 18701, Government Code. Reference: Sections 
19400-19403, 19405 and 19406, Government Code. 

History 
1. New section filed 12-21-2000; operative 12-21-2000 pursuant to Government 
Code section 18214 (Register 2000, No. 51). 

§ 547.86. Upward Mobility Goals. 

(a) In accordance with the Guidelines, each department shall annually 
establish upward mobility goals that reflect the number of expected ap- 
pointments of employees in low-paying occupations to positions in entry 
technical, professional, and administrative classifications during the fis- 
cal year. Goals shall be established by classification and expressed as a 
whole number. In establishing goals, consideration shall be given to the 
following: 

(1) The history of upward mobility appointments over at least a three- 
year period. 

(2) The anticipated number of appointment opportunities. 

(3) The availability of qualified upward mobility candidates for ap- 
pointment. 

(b) Departments shall submit the following information to the Board 
for review and approval by July 1 st of each year: 

(1) Upward mobility goals for each appropriate entry technical, pro- 
fessional and administrative classification. 

(2) An analysis of how successful the department was in meeting its 
goals for the previous year. 

(3) A description of the department's actions that demonstrate a good 
faith effort to comply with the requirements of Government Code Sec- 
tion 19401. 

(4) The number of employees participating in each of the department' s 
upward mobility efforts specified in Government Code Section 19401. 

(5) The amount and percentage of the department's annual training 
budget assigned for upward mobility development activities. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Sections 
19400-19403, 19405 and 19406, Government Code. 

History 

1. New section filed 12-21-2000; operative 12-21-2000pursuant to Government 
Code section 18214 (Register 2000, No. 51). 

§ 547.87. Board Review and Response. 

In accordance with Government Code Section 19402, the board will 
annually review each department's upward mobility goals and the other 
information required under Section 547.86 and provide a written re- 
sponse either approving or requiring modification to the department's 
upward mobility program. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Secfions 
19400-19403, 19405 and 19406, Government Code. 

History 
1. New section filed 12-21-2000; operative 12-2 1-2000 pursuant to Government 

Code section 18214 (Register 2000, No. 51). 



Subchapter 2. Career Executive 
Assignment Rules 

PREFATORY NOTE 

Articles 1-16, inclusive, are promulgated under the authority of Section 18701, 
Government Code, unless otherwise stated. 



Article 1. General 

§ 548. Scope. 

This chapter shall have special reference to the category of civil ser- 
vice appointment called "career executive assignments." Except as may 
be included in these regulations by specific reference, Chapters 3 through 
8 of Part 2 of the Civil Service Act and the regulations stemming from 
this authority do not apply to this category. Regulations adopted by the 
State Personnel Board under the provisions of the Government Code 
applicable to career executive assignments shall apply to such assign- 
ments. 

NOTE: Authority cited: Section 19889, Government Code. Reference: Sections 
18546, 18547, 19889, 19889.2 and 19889.3, Government Code. 



Page 40.7 



Register 2008, No. 1; 1-4-2008 



§ 548.1 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



History 

1. New subchapter 2 (sections 548 thiough 548.145) filed 10-15-63; effective 
thirtieth day thereafter (Register 63, No. 1 8). 

2. Amendment of Note filed 4-8-77; effective thirtieth day thereafter (Register 
77, No. 15). 

3. Change without regulatory effect amending section and Note filed 9-16-92 
pursuant to section 100, title 1 , Califomia Code of Regulations (Register 92, No. 
39). 

§548.1. Purpose. 

It is the purpose of these regulations to establish a system of merit per- 
sonnel administration which will further the development, selection, and 
effective use of career executives in the Califomia state civil service. 
They are general in nature and are intended to facilitate the multi-depart- 
mental and service wide procedures which recognize and afford opportu- 
nity to the most competent. Responsibility rests upon appointing powers, 
competitors and the Personnel Board alike to be sure that all actions un- 
der these regulations conform to the intent and goals of this program. 
NOTE: Authority cited; Section 19889, Government Code. Reference; Section 
19889, Govemment Code. 

History 
1 . Amendment filed 12-2 1-73; designated effective 4-1-74 (Register 73, No. 51). 



2. Change without regulatory effect amending section and adding Note filed 
9-1 6-92 pursuant to section 1 00, title 1 , Califomia Code of Regulations (Regis- 
ter 92, No. 39). 



Article 2. Position Assignment 

§ 548.5. Career Executive Assignment Category. 

History 

1 . Amendment filed 1 2-2 1 -73 ; designated effective 4-1-74 (Register 73, No. 5 1 ). 

2. Repealer filed 6-12-86; effective thirtieth day thereafter (Register 86, No. 24). 

§ 548.6. Reporting New Positions or Duty Changes. 

History 

1 . Amendment filed 1 2-21-73; designated effective 4-1-74 (Register 73, No. 51). 

2. Repealer filed 6-12-86; effecfive thirtieth day thereafter (Register 86, No. 24). 

§ 548.7. Use of Code Symbol. 

History 

1. Amendment filed 12-21-73; designated effecfive 4-1 -74 (Register 73, No. 51). 

2. Repealer filed 9-18-85; effective'thirtieth day thereafter (Register 85, No. 40). 



[The next page is 41.] 



Page 40.8 



Register 2008, No. 1; 1-4-2008 



Title 2 



State Personnel Board 



§ 548.40 



Article 3. Compensation 

§ 548.20. Salary Ranges. 

History 
1 . Amendment filed ] 2-2 1-73; designated effective 4-1-74 (Register 73, No. 31). 

§ 548.22. Flexibility in Form of Compensation. 

History 

1. New section filed 9-27-65; effective thirtieth dav thereafter (Register 65, No. 
18). 

2. Amendment filed 12-21-73; designated effective 4-1-74 (Register 73, No. 51). 

3. Repealer filed 8-28-85; effective thirtieth day thereafter (Register 85, No. 35). 

§ 548.23. Rate of Movement Upon Promotion to a Career 
Executive Assignment Position. 

History 

1. New section filed 7-3-73; effective thirtieth day thereafter (Register 73, No. 
31). 

2. Amendment filed 1 2-2 1-73; designated effective 4-] -74 (Register 73, No. 51 ). 

3. Amendment filed 4-8-77; effective thirtieth day thereafter (Register 77, No. 
15). 

4. Repealer filed 8-28-85; effective thirtieth day thereafter (Register 85, No. 35). 

§ 548.24. Bonus Compensation. 

History 

1. New section filed 7-31-73; effective thirtieth day thereafter (Register 73, No. 
31). 

2. Amendment filed 12-21-73; designated effective 4-1-74 (Register73, No. 51). 

3. Repealer filed 8-28-85; effective thirtieth day thereafter (Register No. 35). 

§ 548.25. Red Circle Rates. 

Note: Reference: Sections 18860 and 19221, Government Code. 

History 

1. New section filed 5-21-76; effective thirtieth day thereafter (Register 76, No. 
21). 

2. Amendment of NOTE filed 4-8-77; effective thirtieth day thereafter (Register 
77, No. 15). 

3. Repealer filed 8-28-85; effective thirtieth day thereafter (Register 85, No. 35). 



Article 4. Employment Lists 

§ 548.30. Career Executive Assignment Examinations. 

The appointing power may conduct competitive examinations subject 
to these regulations and the approval of the executive officer. The results 
of an examination may be used to maJce additional appointments to Ca- 
reer Executive Assignment positions that are substantially the same as 
the one for which the original examination was announced. However, the 
eligibility of persons for appointment to such positions shall be subject 
to either, 

(a) The appointing power specifying in the announcement for the orig- 
inal examination the additional positions for which the competition shall 
be used to make appointments, the methods and standards of evaluation 
to be used in the examination, and the time for which the results of the 
original competition shall be used; or 

(b) The appointing power subsequently announcing that applications 
will be accepted as a supplement to the original announcement and that 
all otherwise qualified persons who apply will be considered with those 
who applied under the original announcement. 

Lists of persons who apply for announced examinations shall be main- 
tained by the appointing power as long as the results of the competition 
are to be used. These lists shall be kept for the purpose of facilitating fu- 
ture competition by reducing the need for repetitive evaluation and for 
the purpose of providing a record of the results of competitive examina- 
tions. Such lists of persons who apply and are evaluated for consideration 
for appointment shall not confer eligibility for appointment to other posi- 
tions in the Career Executive Assignment category which are not among 
those provided for in this section. 

NOTE; Authority cited; Section 18701, Government Code. Reference: Sections 
18546, 19889, 19889.2 and 19889.3, Government Code. 

History 

1. Amendment filed 12-2 1-73; designated effective 4-1-74 (Register 73, No. 51). 



2. Amendment filed 8-14-79; effective thirtieth day thereafter (Register 79, No. 

33). 

3. Amendment filed 9-18-85; effective thirtieth day thereafter (Register 85, No. 
40). 

4. Change without regulatory effect amending opening paragraph and Note filed 
9-16-92 pursuant to section 100, title 1, California Code of Regulations (Regis- 
ter 92, No. 39). 

§ 548.32. Roster Merging. 

Note: Authority cited: Section 18701, Government Code. Reference: Sections 
18930, 18546, 19221 and 19222, Government Code. 

History 

1 . Amendment filed 1 2-21-73; designated effective 4-1-74 (Register 73, No. 51 ). 

2. Repealer filed 8-14-79; effective thirtieth day thereafter (Register 79, No. 33). 

Article 5. Examinations 



§ 548.40. Competitive Examinations. 

Examinations for appointment to Career Executive Assignment posi- 
tions shall be competitive and of such a character as fairly to test and de- 
termine the qualifications of candidates actually to perform the duties of 
the position to be filled. Examinations may include, but need not be lim- 
ited to, an assessment of the candidates' character, education, experi- 
ence, knowledge, skills, and ability. Examinations may be assembled or 
unassembled, written or oral, or in the form of a demonstration of skill, 
or any combination of these. 

Examinations may include a review of applications, use of supplemen- 
tal applications, appraisals of performance and executive potential, man- 
agement exercises, and/or structured interviews. 

The appointing power shall promulgate the job-related evaluation cri- 
teria that will be used to assess the qualifications of each candidate for 
the position. The appointing power shall assess each candidate's qualifi- 
cations for the position based upon the evaluation criteria, and shall 
compare and rank each candidate against all other candidates based upon 
this assessment. Successful candidates shall be divided into 6 ranks based 
upon their scores. The first rank shall consist of candidates who receive 
scores of 95 percent or higher. The second rank shall consist of candi- 
dates who receive scores of 90 to 94 percent. The third rank shall consist 
of candidates who receive scores of 85 to 89 percent. The fourth rank 
shall consist of candidates who receive scores of 80 to 84 percent. The 
fifth rank shall consist of candidates who receive scores of 75 to 79 per- 
cent. The sixth rank shall consist of candidates who receive scores of 70 
to 74 percent. Unsuccessful candidates shall receive a score of 65. All ex- 
amination scores shall be rounded to the nearest whole percent. Each can- 
didate shall be notified in writing of his or her score. 

The appointing power shall appoint a candidate who is well-qualified 
to perform the duties of the position, and who is within one of the top 
three ranks. If there are fewer than a total of 5 candidates in the top three 
ranks, then the appointing power may consider candidates in the next 
lower ranks in rank order until there are at least 5 candidates available for 
consideration. For each examination, the appointing power shall main- 
tain an examination file for a period of three years that includes, but is not 
limited to, the specific job-related evaluation criteria and selection pro- 
cedures that were used in the examination; documentation on how those 
criteria were applied to the candidates; documentation as to the competi- 
tiveness of the candidates' qualifications relative to each other; and the 
appointing power' s rationale for selecting the successful candidate. 
NOTE: Authority cited: Section 18701, Government Code. Reference: Sections 
18546, 19889, 19889.2 and 19889.3, Government Code; and Alexander v. State 
Personnel Board (2000) 80 Cal.App.4th 526. 

History 

1. Amendment filed 12-21-73; designated effecfive 4-1 -74 (Register 73, No. 51). 

2. Amendment filed 8-14-79; effective thirtieth day thereafter (Register 79, No. 
33). 

3. Change without regulatoi^ effect amending Note filed 9-16-92 pursuant to 
section 100, title 1, California Code of Regulations (Register 92, No. 39). 

4. Amendment of section and Note filed 10-23-2000; operative 10-23-2000; 
amended and refiled 12-6-2000. Submitted to OAL for printing only pursuant 
to Government Code sections 1821 1 and 18213(a) (Register 2000, No. 49). 



Page 41 



Register 2000, No. 49; 12-8-2000 



§ 548.41 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



§ 548.41. Examination Announcements. 

It is the policy of the State Personnel Board that examinations for ap- 
pointment to Career Executive Assignment positions shall be publicized 
as widely as appears practicable. When it is in the best interest of the State 
and of economy and efficiency, examinations may be conducted with re- 
stricted publicity subject to the approval of the executive officer. The ex- 
ecutive officer may authorize appointing powers to prepare and distribute 
examination announcements, to conduct examinations for Career Execu- 
tive Assignment appointments, and to establish standards for the review 
and interpretation of such minimum qualifications as the board may es- 
tablish for the Career Executive Assignment category. Such interpretive 
standards shall be expressed on the examination announcement as desir- 
able knowledge, skills, abilities, or personal characteristics that are ac- 
tually necessary to perform the duties of the position to be filled. Specific 
amounts, kinds and levels of education and experience shall not be re- 
quired but may be indicated as desirable and as the most likely sources 
of the requisite knowledges, skills, abilities and personal characteristics. 
Examination announcements shall identify the position for which the 
competition is being conducted and the evaluation standards and meth- 
ods to be applied. If the results of the examination may be used to make 
additional appointments, the announcement shall conform to the provi- 
sions of Article 4 of these regulations on employment lists. The appoint- 
ing power shall provide information on the content and scope of the ex- 
amination publicity and on the methods and results of the evaluation used 
on forms and by procedures prescribed by the executive officer. When 
examinations are announced there shall be reasonable assurance that po- 
tential competitors are provided opportunity to be informed of their gen- 
eral nature and scope. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Sections 
18935, 18546, 19889, 19889.2 and 19889.3, Government Code. 

History 

1. Amendment filed 8-14-79; effective thirtieth day thereafter (Register 79, No. 
33). 

2. Change without regulatory effect amending section and Note filed 9-16-92 
pursuant to section 100, title 1 , California Code of Regulations (Register 92, No. 
39). 

§ 548.42. Refusal to Examine or Approve Appointments. 

The executive officer may refuse to examine or to approve appoint- 
ments to the Career Executive Assignment category for any reason speci- 
fied in Government Code Section 18935. 

NOTE; Authority cited: Section 18701, Government Code. Reference: Sections 
19889, 19889.2 and 19889.3, Government Code. 

History 

1 . Amendment filed 1 2-21-73; designated effective 4-1 -74 (Register 73, No. 51). 

2. Amendment filed 8-14-79; effective thirtieth day thereafter (Register 76, No. 
33). 

3. Change without regulatory effect amending Note filed 9-16-92 pursuant to 
section 100, title 1, California Code of Regulations (Register 92, No. 39). 

§ 548.43. Availability of Information on Examination 
Method. 

The method or methods by which the appointing power conducted the 
competitive examination for appointment shall be available for the infor- 
mation of competitors upon request. 

Note: Authority cited: Section 18701, Government Code. Reference: Sections 
19889, 19889.2 and 19889.3, Government Code. 

History 

1. Amendment filed 8-14-79; effective thirtieth day thereafter (Register 79, No. 
33). 

2. Change without regulatory effect amending Note filed 9-16-92 pursuant to 
secfion 100, title 1, California Code of Regulations (Register 92, No. 39). 

§ 548.44. Security Measures. 

The same security precautions shall be observed in preparing and con- 
ducting examinations for Career Executive Assignment positions as are 
required in the preparation and conduct of other examination processes. 
Competitors likewise shall be bound by the same prohibitions and penal- 
ties applying to competitors in other examinations. 
Note: Authority cited: Secfion 18701, Government Code. Reference: Secfions 
19889, 19889.2 and 19889.3, Government Code. 



History 

1. Amendment filed 12-2 1-73; designated effective 4-1 -74 (Register 73, No. 51). 

2. Amendment iiled 8-14-79; effective thirtieth day thereafter (Register 79, No. 
33). 

3. Change without regulatory effect amending Note filed 9-16-92 pursuant to 
section 100, title I, California Code of Regulations (Register 92. No. 39). 

§ 548.45. Inspection of Examination Papers and Executive 
Assessment and Potential Ratings. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Sections 
19220 and 19221, Government Code. 

History 

1 . Amendment filed 12-21 -73; designated effective 4-1-74 (Register 73, No. 51). 

2. Repealer filed 8-14-79; effective thirtieth day thereafter (Register 79, No. 33). 

§ 548.46. Disqualification of Persons Related to 
Competitor. 

Interviewers and evaluators shall be disqualified from Career Execu- 
tive Assignment examinations in the manner provided by Section 197.5 
for examinations for the general civil service. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Sections 
18930 and 19889.2, Government Code. 

History 

1. Amendment filed 9-18-85; effective thirtieth day thereafter (Register 85, No. 
40). 

2. Change without regulatory effect amending section and Note filed 9-16-92 
pursuant to section 100, title 1 , California Code of Reeulations (Register 92, No. 
39). 

§ 548.47. Fitness for Managerial Posts. 

Examinations for the Career Executive Assignment appointments 
shall give due regard to the general fitness of the competitors to serve in 
managerial posts as evidenced by demonstrated achievement and self de- 
velopment. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Sections 
19889, 19889.2 and 19889.3, Government Code. 

History 

1. Amendment filed 1 2-21 -73; designated effecfive 4-1-74 (Register 73, No. 51). 

2. Amendment filed 8-14-79; effective thirtieth day thereafter (Register 79, No. 
33). 

3. Change without regulatory effect amending Note filed 9-16-92 pursuant to 
section 100, title 1, California Code of Regulations (Register 92, No. 39). 

§ 548.48. Ratings of Performance and Potential. 

In any examination for Career Executive Assignment appointment the 
executive officer or the appoinfing power may make such inquiry into the 
backgrounds of the competitors and obtain such ratings of past perform- 
ance and potential as will be helpful in determining their fitness to serve 
in a career executive assignment. 

NOTE; Authority cited: Section 18701, Government Code. Reference: Sections 
19889, 19889.2 and 19889.3, Government Code. 

History 

1. Amendment filed 12-21-73; designated effective 4-1-74 (Register 73, No. 51). 

2. Amendment filed 8-14-79; effective thirtieth day thereafter (Register 79, No. 
33). 

3. Change without regulatory effect amending Note filed 9-16-92 pursuant to 
section 100, title 1, California Code of Regulations (Register 92, No. 39). 

4. Editorial correction of printing error in History 2. (Register 92, No. 39). 

§ 548.49. Appeal From Examination or Departmental 
Appointment. 

Within 30 days after the report of appointment to a Career Executive 
Assignment position is submitted to the executive officer, and employee 
who is otherwise eligible for appointment to the C.E. A. category may ap- 
peal to the State Personnel Board upon the grounds of irregularity, fraud 
or discrimination in the conduct of the examination. 

If, upon review of the record of the examination, the board grants the 
appeal by finding fraud or discrimination, it may cancel the examination 
and appointment and require the appointing power to repeat the competi- 
fion for the position with specific instructions that will avoid such fraud 
or discrimination in subsequent competition; it may order whatever cor- 
rective action it finds best provides an appropriate remedy. 

If an appellant alleges irregularity in the conduct of the examination, 
the board may cancel the appointment and/or order a new examination 
only if the board finds the irregularity materially affected the appoint- 
ment made as a result of the examinadon. 



Page 42 



Register 2000, No. 49; 12-8-2000 



Title 2 



State Personnel Board 



§ 548.77 



Appeals based on a challenge of the qualifications of the person ap- 
pointment made as a result of an examination shall be heard only upon 
the grounds that such person is not well qualified and/or was not carefully 
selected. 

NOTE; Authority cited: Section 18701, Government Code. Reference: Sections 
19889, 19889.2 and 19889.3, Government Code. 

History 

1 . Amendment filed 12-21-73; designated effective 4-1 -74 (Register 73, No. 51). 

2. Amendment filed 5-14-75; effective thirtieth day thereafter (Register 75, No. 
20). 

3. Amendment filed 8-14-79; effective thirtieth day thereafter (Register 79, No. 
33). 

4. Change without regulatory effect amending section and Note filed 9-16-92 
pursuant to section 100, title 1, California Code ofRegulations (Register 92, No. 
39). 

§ 548.50. Expenses. 

Expenses for nonsalaried assistants in the preparation and conduct of 

examinations may be provided as for the general civil service. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Section 

18546, Government Code. 

History 

1. Reinstatement of Section 548.50 which was inadvertently repealed instead of 
Section 548.5 on 8-28-85 (Register 85, No. 35) filed 6-12-86; effecfive thir- 
tieth day thereafter (Register 86, No. 24). 

§ 548.52. Written Examinations. 

The scoring, determination of ratings, inspection of papers or answer 
sheets, and appeals of the conduct of written examinations shall be ad- 
ministered in the same manner as provided for the general civil service 
as provided in Sections 176, 177, 178, 179, 180, 185, 186, 187, 188, 189, 
190. 

Note-. Authority cited: Section 18701, Government Code. Reference: Sections 
19680 and 19899.2, Government Code. 

History 

1. New section filed 9-18-85; effective thirtieth day thereafter (Register 85, No. 
40). 

2. Change without regulatory effect amending section and Note filed 9-16-92 
pursuant to section 100, title 1, California Code ofRegulations (Register 92, No. 
39). 



History 

1. Amendment filed 12-21 -73; designated effective 4-1-74 (Register 73, No. 51). 

2. Repealer filed 8-14-79; effective thirtieth day thereafter (Register 79, no. 33). 



Article 6. Promotion 

§ 548.60. Promotional Examination Eligibility. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Section 
18546, Government Code. 

History 
l.Amendmentfiled 12-21-73; designated effective 4-1-74 (Register 73, No. 51). 

2. Reinstatement of Section 548.60 which was inadvertently repealed instead of 
Section 548.6 on 8-28-85 (Register 85, No. 35) filed 6-12-86; effective thir- 
tieth day thereafter (Register 86, No. 24); 

3. Repealer filed 11-20-87; operative 12-20-87 (Register 87, No. 48). 

§ 548.61 . Rights of Disadvantaged Employee. 

An employee who feels disadvantaged by any action taken by any su- 
perior or fellow employee in discouraging any manner hindering or pre- 
venting the employee from taking any examination or who alleges dis- 
crimination in State employment on the basis of age, sex, race, religious 
creed, color, national origin, ancestry, disability, marital status, or sexual 
orientation may appeal to the board in writing. Any such appeal or com- 
munication in connection therewith is confidential and shall not be dis- 
closed without the consent of the employee taking such appeal. Immedi- 
ately after receiving such appeal the board shall investigate and shall take 
such action as it deems necessary. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Section 
18952, Government Code. 

History 
1. Amendment filed 8-28-85; effective thirtieth day thereafter (Register 85, No. 

35). 

§ 548.62. Resignation of Eligible. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Section 
19220, 19221 and 19222, Government Code. 



Article 7. Appointments 

§ 548.70. Eligibility for Appointments. 

Except as provided in this chapter, eligibility for appointment to a Ca- 
reer Executive Assignment position shall be established as the result of 
competitive examination of persons with permanent status in the civil 
service who are well qualified to perform high administrative and poli- 
cy-influencing functions. The scope and nature of such examinations 
inay be determined by the appointing power subject to these regulations 
and the approval of the executive officer. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Sections 
19889, 19889.2 and 19889.3, Government Code. 

History 

l.Amendmentfiled 12-21-73; designated effective 4-l-74(Register 73, No. 51). 

2. Amendment filed 8-14-79; effective thirtieth day thereafter (Register 79, No. 
33). 

3. Change without regulatory effect amending section and Note filed 9-16-92 
pursuant to section 100, title 1 , California Code ofRegulations (Register 92, No. 
39). 

§ 548.71 . Request for Certification. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Secfions 
19220, 19221 and 19222, Government Code. 

History 
1. Amendment filed 8-14-79; effective thirtieth day thereafter (Register 79, No. 

33). 

§ 548.72. Appropriate Lists. 

History 

1. Repealer filed 12-21-73; designated effective 4-1-74 (Register 73, No. 51). 

§ 548.73. Categories of Qualification. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Sections 
19220, 19221 and 19222, Government Code. 

History 

l.Amendmentfiled 12-2 1-73; designated effective 4-1-74 (Register 73, No. 51). 

2. Repealer filed 8-14-79; effecfive thirtieth day thereafter (Register 79, No. 33). 

§ 548.74. Certification of the Roster. 

NOTE: Authority cited: Secfion 18701, Government Code. Reference: Sections 
19220, 19221 and 19222, Government Code. 

History 

1. Amendmentfiledl2-21-73;designatedeffecnve4-l-74(Register73,No. 51). 

2. Repealer filed 8-14-79; effective thirtieth day thereafter (Register 79, No. 33). 

§ 548.75. Duty to Respond to Notice. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Secfions 
19220, 19221 and 19222, Government Code. 

History 

1 . Amendment filed 12-21-73; designated effective 4-1-74 (Register 73, No. 51). 

2. Repealer filed 8-14-79; effecfive thirtieth day thereafter (Register 79, No. 33). 

§ 548.76. Waiver of Certification. 

NOTE: Authority cited: Secfion 18701, Government Code. Reference: Secfions 
19220, 19221 and 19222, Government Code. 

History 
1. Repealer filed 8-14-79; effecfive thirtieth day thereafter (Register 79, No. 33). 

§ 548.77. Report of Appointment. 

The appointing power shall report of each appointment to the execu- 
tive officer within 30 days of the effective date of the appointment and 
on forms and by procedures established by the executive officer. 
NOTE; Authority cited: Section 18701, Government Code. Reference: Secfions 
19889 and 19889.2, Government Code. 

History 

1. Amendment filed 8-14-79; effective thirtieth day thereafter (Register 79, No. 
33). 

2. Change without regulatory effect amending Note filed 9-16-92 pursuant to 
secfion 100, title 1, California Code ofRegulations (Register 92, No. 39). 



Page 43 



Register 2002, No. 25; 6-21-2002 



§ 548.90 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



Article 8. Reinstatement 

§ 548.90. Reinstatement of Employee. 

On the request of an appointing power, the executive officer may ap- 
prove the reinstatement to a career executive assignment of any perma- 
nent employee, or an employee who previously had permanent status and 
who since such permanent status has had no break in the continuity of 
state service due to a permanent separation, who meets the reinstatement 
criteria stated in Government Code Section 19140. 

The board, by resolution at the request of an appointing power, may 
approve the establishment of limited career executive assignment posi- 
tions at levels classified within the general civil service to provide for the 
reinstatement of persons who are terminated from other career executive 
assignments. Such reinstatements may be approved only when all of the 
following conditions are present: 

(a) The appointing power has an identified need for the services of the 
employee at a position at least equal to the highest general civil service 
classification authorized for use by the appointing power, and the duties 
and responsibilities of the individual concerned meet the definition of ca- 
reer executive assignment as stated in Government Code Section 1 8547; 
and 

(b) The employee does not have prior status or employment list eligi- 
bility for appointment at this level; and 

(c) The reinstatement will not result in a layoff or any other infringe- 
ments of employees already in this classification. 

It is not the intent of this section, nor shall this section provide any im- 
plied or expressed precedent authority for the establishment of career ex- 
ecutive assignment positions other than those which fully meet the crite- 
ria specified in this section. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Sections 
19889 and 19889.3, Government Code. 

History 

1. Amendment filed 11-1-72; effective thirtieth day thereafter (Register 72, No. 

45). 

2. Amendment filed 12-21-73;designatedeffective4-l-74(Register73, No. 51). 

3. Amendment filed 4-14-77; effective thirtieth day thereafter (Register 77, No. 
16). 

4. Change without regulatory effect amending subsection (c) and Note filed 
9-16-92 pursuant to section 100, title 1 , California Code of Regulations (Regis- 
ter 92, No. 39). 

§ 548.91 . Reinstatement of Former Employee. 

History 

1 . Amendment filed 1 1-1-72; effective thirtieth day thereafter (Register 72, No. 

45). 

§ 548.92. Breaks in Service. 

History 

1 . Amendment filed 8-28-85; effective thirtieth day thereafter (Register 85, No. 

35). 



Article 9. Transfer 

§ 548.95. Transfer of Employee. 

With the approval of the executive officer, an appointing power may 
transfer an employee from one career executive assignment position to 



another at substantially the same or lower level of salary. Such transfer 
or demotions may, with the written approval of all parties, be made be- 
tween appointing powers. Transfers between positions in different Ca- 
reer Executive Assignment levels and assignments shall be governed by 
the standards contained in Sections 430, 43 1 , 432, 433 and 435 for trans- 
fer between general civil service classifications. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Sections 
18546, 18547 and 19050.4, Government Code. 

History 

1. Amendment filed 12-2 1-73; designated effective 4-] -74 (Register 73, No. 5 1). 

2. Amendment filed 9-1 8-85;; effective thirtieth day thereafter (Register 85, No. 
40). 

3. Change without regulatory effect amending section and Note filed 9-16-92 
pursuant to section 100, title 1 , California Code of Regulations (Resister 92, No. 
39). 

§ 548.96. Transfer of Employee From General Civil Service 
to a Career Executive Assignment. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Secfions 
18546, 18547 19889, 19889.2 and 19889.3, Government Code. 

History 

1 . New section filed 12-21-73; designated effecfive 4-1-74 (Register 73, No. 51). 

2. Amendment of NOTE filed 4-8-77; effective thirtieth day thereafter (Register 
77, No. 15). 

3. Change without regulatory effect amending section and Note filed 9-16-92 
pursuant to section 100, fitle 1 , California Code of Regulations (Register 92, No. 
39). 

4. Invalidated by Professional Engineers in California Government v. State Per- 
sonnel Board (2001) 90 Cal.App.4th 678, 109 Cal.Rptr.2d 375 and repealer 
filed 6-20-2002 per section 100(a)(3), title 1 of the California Code of Regula- 
tions (Register 2002, No. 25). 



Article 10. Performance Appraisal 

§ 548.1 00. Method of Appraisal. 

History 

1 . Amendment filed 12-2 1-73; designated effective 4-1-74 (Register 73, No. 51). 

2. Repealer filed 8-28-85; effective thirtieth day thereafter (Register 85, No. 35). 



Article 11. Absences 

§ 548.1 1 0. Leave of Absence. 

History 

1 . Repealer filed 8-28-85; effective thirtieth day thereafter (Register 85, No. 35). 



Article 12. Military and Defense Service 

§ 548.1 1 5. Right to be Considered. 

Permanent civil service employees who are on military leave shall 
have the same rights to be considered for Career Executive Assignment 
appointments as if they were not on such leave. 

NotE; Authority cited: Section 18701, Government Code. Reference: Sections 
19889 and 19889.2, Government Code. 

History 

1. Amendment filed 12-21-73; designated effective 4-1-74 (Register 73, No. 51). 

2. Amendment filed 8-14-79; effective thirtieth day thereafter (Resister 79, No. 

33). 

3. Change without regulatory effect amending Note filed 9-16-92 pursuant to 
section 100, title 1, California Code of Regulations (Register 92, No. 39). 



Page 44 



Register 2002, No. 25; 6-21-2002 



Title 2 



State Personnel Board 



§ 548.145 



Article 13. Service — General 

§ 548.120. Responsibilities and Privileges. 

History 

1. Amendment filed 4-8-77; effective thirtieth day thereafter (Register 77, No. 
15). 

2. Repealer filed 8-28-85; effective thirtieth day thereafter (Register 85, No. 35). 

§ 548.1 21 . Unauthorized Employment. 

Any person acting in good faith in accepting an appointment or em- 
ployment contrary to this chapter shall be paid by the appointing power 
the compensation promised by or on behalf of the appointing power or, 
in case no compensation is so protnised, the actual value of any service 
rendered and the expense incurred in good faith under such attempted ap- 
pointment or employment, and has a cause of action against the appoint- 
ing power therefor. 

§548.122. Medical Examination. 

An appointing power may require an employee serving in a career ex- 
ecutive assignment to undergo a medical examination for the same pur- 
poses and in the same manner as is provided for the general civil service. 

§548.123. Good Faith. 

Good faith provisions as contained in Section 8 that apply to appoint- 
ments in the general civil service shall apply in the same manner to ap- 
pointments to positions in the Career Executive Assignment category. 

Note. Authority cited: Section 18701, Government Code. Reference: Sections 
19257 and 19257.5, Government Code. 

History 

1. New section filed 12-21-73; effective thirtieth day thereafter (Register 85, No. 
40). 

2. Change without regulatory effect amending section filed 9-16-92 pursuant to 
section 100, title 1, California Code of Regulations (Register 92, No. 39). 

§ 548.124. Correction of Appointments. 

When the executive officer determines that a Career Executive As- 
signment appointment is unlawful, the executive officer shall take cor- 
rective and remedial action in the same manner as provided for the gener- 
al civil service as provided in Sections 266 and 266.1. An employee 
holding such a Career Executive Assignment appointment shall have the 
right to receive notice, to respond, and to appeal such corrective action 
pursuant to Sections 266.2 and 266.3. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Sections 
19257 and 19257.5, Government Code. 

History 

1. New section filed 9-18-85; effective thirtieth day thereafter (Register 85, No. 
40). 

2. Change without regulatory effect amending section filed 9-16-92 pursuant to 
section 100, title 1, California Code of Regulations (Register 92, No. 39). 



Article 14. Interjurisdictional Exchange 

§ 548.130. Interjurisdictional Exchange. 

Participation of career executives in interjurisdictional employee ex- 
change assignments shall be subject to the provisions of Section 427. 
NOTE: Authority cited: Section 18701, Government Code. Reference: Sections 
18546, 18547, 19050.3 and 19050.8, Government Code. 

History 

1. Amendment filed 9-18-85; effective thirtieth day thereafter (Register 85, No. 
40). 

2. Change without regulatory effect amending section and Note filed 9-16-92 
pursuant to section 100, title 1 , California Code of Regulations (Register 92, No. 
39). 



Article 15. Termination of Assignment 

§ 548.135. Notice of Termination. 

History 

1. Amendment filed 4-8-77; effective thirtieth day thereafter (Register 77, No. 
15). 

2. Repealer filed 8-28-85; effective thirtieth day thereafter (Register 85, No. 35). 

§548.136. Appeal from Termination. 

Witliin 30 days after receipt of notice of termination of a career execu- 
tive assignment, the affected employee may appeal to the State Personnel 
Board upon the grounds that the termination was effected for reasons of 
age, sex, sexual preference as prohibited by Governor's Executive Order 
B-54-79 (4/4/79), marital status, race, color, national origin, ancestry, 
disability as defined in Government Code Section 1923 1(a)(1), religion, 
or religious opinions and affiliations, political affiliation, or political 
opinions. After hearing the appeal, the board may affirm the action of the 
appointing power, or restore the affected employee to the career execu- 
tive assigniTient. 

NOTE: Authority: Sections 18701 and 19889.2, Government Code. Reference: 
Sections 19231, 19700, 19701, 19702, 19702.1, 19702.2, 19703, and 19889.2, 
Government Code; Gay Law Students Association v. Pacific Telephone and Tele- 
graph Company (1979) 24 Cal.3d 458, 156 Cal.Rptr. 14,' 595 P.2d 592. 

History 

1 . Amendment filed 4-8-77 ; effective thirtieth day thereafter (Register 77, No. 1 5) 

2. Amendment of section filed 8-19-91; operative 9-1 8-91 (Register 91, No. 50). 

§ 548.137. Termination Upon Request of Employee. 

History 
1 . Repealer filed 8-28-85; effective thirtieth day thereafter (Register 77, No. 1 5). 

§ 548.138. Reduction in Force. 

NOTE: Authority cited: Section 19221 and 19530-19541, Government Code. 

History 

1. New section filed 10-8-70; effective thirtieth day thereafter (Register 70, No. 

41). 

2. Amendment filed 12-21-73; designated effecfive 4-1-74 (Register 73, No. 51). 

3. Amendment of NOTE filed 4-8-77; effective thirtieth day thereafter (Register 
77, No. 15). 

4. Repealer filed 8-28-85; effective thirtieth day thereafter (Register 85, No. 35). 

§548.139. Seniority Credits. 

NOTE: Authority cited: Section 19533, Government Code. 

History 

1. New section filed 10-8-70; effecfive thirtieth day thereafter (Register 70, No. 

41). 

2. Amendment filed 12-21-73;designatedeffecUve4-l-74(Register73,No. 51). 

3. Amendment of NOTE filed 4-8-77; effective thirtieth day thereafter (Register 
77, No. 15). 

4. Repealer filed 8-28-85; effective thirtieth day thereafter (Register 85, No. 35). 



Article 16. Separations from State Service 

§548.145. Separation of Employee. 

A person serving in a career executive assignment may be separated 
from state service through resignation, automatic resignation, dismissal, 
retirement, or for medical reasons under the provisions of Government 
Code Section 19253.5 in the same manner as is provided for other civil 
service employees. The career executive assignment of a person so sepa- 
rated shall be deemed to have been terminated, and the separation to have 
been from a position in the class in the general civil service in which the 
employee had permanent status. 

History 
1. Amendment filed 4-8-77; effective thirtieth day thereafter (Register 77, No. 

15). 



Page 44.1 



Register 92, No. 39; 9-25-92 



§ 548.150 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



Article 17. Reinstatement Following 
Termination 

§548.150. Definition. 

"Former position," for the purposes of this article, means the last posi- 
tion an employee held as a probationer or permanent employee or a posi- 
tion that is at least at the same salary level and to which the appointing 
power could have transferred the employee. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Section 
19889.3, Government Code. 

History 

1. New article 17 (sections 548. 150-548. 155) filed 3-9-81; effective thirtieth day 
thereafter (Register 81. No. 1 1). 

2. Change without regulatory effect amending Note filed 9-16-92 pursuant to 
section 100, title ], California Code of Regulations (Register 92, No. 39). 

§ 548.151. Reinstatement to Former Position Following 
Termination. 

An employee terminated from a Career Executive Assignment shall be 
reinstated to his or her former position unless the employee elects to be 
appointed to another position, offered by the appointing power, for which 
he or she is eligible. 

NOTE: Authority cited: Section 18701 and 19889.3, Government Code. Refer- 
ence: Section 19889.3, Government Code. 

History 

1 . Amendment of section heading filed 9-29-82; effective thirtieth day thereafter 
(Register 82, No. 40). 

2. Amendment filed 9-18-85; effective thirtieth day thereafter (Register 85, No. 
40). 

§ 548.152. Permissive Reinstatement. 

An employee terminated from a Career Executive Assignment on or 
after January 1, 1981, after completing at least five years of state service 
may on or after the effective date of this rule be reinstated to a vacant posi- 
tion at the discretion of any appointing power within four years of such 
termination as follows: 

1 . Such employees who have completed at least one year but less than 
three years of career executive service may be reinstated to a position in 
a class that is not more that two steps higher in salary than the class in 
which the employee last served as a probationer or permanent employee, 
provided that such class is at least two steps lower in salary that the career 
executive level from which the employee is being terminated. 

2. Such employees who have completed three or more years of career 
executive service may be reinstated to a position in any class that is at 
least two steps lower in salary than the career executive level from which 
the employee is being terminated. 

For employees who are separated from state service, reinstatement eli- 
gibility under this rule shall not extend beyond the employee's reinstate- 
ment eligibility under Government Code Section 19140. 
NOTE: Authority cited: Sections 18701 and 19889.3, Government Code. Refer- 
ence: Section 19889.3, Government Code. 

History 

1. Amendment filed 9-29-82; effective thirtieth day thereafter (Register 82, No. 
40). 

§ 548.153. Mandatory Reinstatement. 

(a) The reinstatement rights provided under this section apply only to 
employees who are terminated from a Career Executive Assignment on 
or after April 3, 198 1 , after completing at least ten years of state service, 
including at least three consecutive years of career executive service un- 
der a single appointing power as specified in part (b) of this section, and 
who request reinstatement pursuant to this section, in writing, within ten 
days of receiving notice of the termination of their Career Executive As- 
signment. 

(b) The three consecutive years of career executive service specified 
under part (a) must 



(1) have occurred entirely within six years of the effective date of the 
employee's termination from a career Executive Assignment, and 

(2) must terminate on or after January 1, 1981. 

For the purposes of meeting this service requirement, exempt service 
shall not affect otherwise quahfying career executive service. 

(c) Reinstatements under this section shall be to the last appointing 
power under which the employee completed three consecutive years of 
career executive service, as specified above. 

(d) An eligible employee may request reinstatement to any general 
civil service level that is: 

(1) At least two steps lower in salary than the lowest Career Executive 
Assignment level a which the employee served during his/her qualifying 
period of career executive service under this section, provided that the 
requested level is at least two steps lower than the level from which the 
employee is being terminated; and 

(2) Above the level of the employee's former position. 

An employee may limit his/her reinstatement request under this sec- 
tion to positions that the employee could reasonably be expected to ac- 
cept without a change in his/her place of residence. 

(e) Upon receipt of such a request, the appointing power shall reinstate 
the employee to a position at the requested level and, if applicable, loca- 
tion that is: 

(1) Vacant; and 

(2) In the same occupational area(s) as the Career Executive Assign- 
ment(s) that the employee held under the appointing power, provided 
such employee possesses any license, certificate, or registration required 
for the class in which the employee is being reinstated and performance 
in the Career Executive Assignment(s) combined wit the employee's 
prior employment history would reasonably predict successful perform- 
ance in the lower level position. 

An employee's refusal to accept a position offered pursuant to these 
provisions shall constitute a waiver of the employee's rights under this 
section to be reinstated to or to receive reemployment list eligibility for 
other positions at the same level, but shall not otherwise impact the rights 
and eligibilities provided by this article. 

(f) If the appointing power does not have a vacant position that can sat- 
isfy the employee's reinstatement requested under this section, the fol- 
lowing actions shall occur: 

(1) If the employee's reinstatement request is not limited to his/her 
current location, the employee's name shall be placed on the appointing 
power's departmental and local subdivisional reemployment list for any 
classes containing positions which, if vacant, would satisfy the em- 
ployee's reinstatement request pursuant to this section. If the employee's 
reinstatement request is limited to his/her current location, the em- 
ployee's name shall be placed on a subdivisional reemployment list cov- 
ering that location for the classes indicated above. Departmental or sub- 
divisional reemployment hst eligibility granted under this section shall 
not result in the employee' s name being placed on any general reemploy- 
ment list. Subdivisional eligibilities may be changed with the concur- 
rence of the employee and the appointing power. 

(2) The reinstatement and reemployment provision outlined in parts 
(e) and (f)(1) of this section shall be applied in descending order to any 
lower general civil service levels under the appointing power that contain 
positions which meet the criteria outlined in parts (d) and (e)(2) of this 
section. 

(g) If an employee cannot be placed in a vacant position pursuant to 
this section, the employee shall be reinstated to his or her former position. 
NOTE: Authority cited: Section 18701 and 19889.3, Government Code. Refer- 
ence: Section 19889.3, Government Code. 

History 

1. Amendment filed 9-29-82; effective thirtieth day thereafter (Register 82, No. 
40). 

2. Amendment of subsection (0(1) filed 1 1-19-82; effective thirtieth day thereaf- 
ter (Register 82, No. 47). 

3. Change without regulatory effect amending section filed 9-16-92 pursuant to 
section 100, title 1, California Code of Regulations (Register 92, No. 39). 



Page 44.2 



Register 92, No. 39; 9-25-92 



Title 2 



State Personnel Board 



§549 



§ 548.154. Sequence of Reinstatement. 

When two or more employees are simultaneously seeking reinstate- 
ment or reemployment to the same class pursuant to the rights provided 
under this article, the appointing power shall act in the following se- 
quence: 

(a) All employees exercising a mandatory return right to their former 
position shall be reinstated. 

(b) Employees seeking mandatory reinstatement or reemployment 
pursuant to Section 548. 1 53 to a position other than their former position 
shall be appointed in seniority order to any remaining positions, provided 
that persons on reemployment lists shall be appointed only as allowed by 
Government Code Section 19056. 

(c) Employees seeking permissive reinstatement pursuant to Section 

548.152 may be reinstated to any remaining vacant positions. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Section 
19889.3, Government Code. 

History 

1. Change withoutregulatory effect of subsection (b) filed 12-21-88 (Register 89, 

No. 1). 

2. Change without regulatory effect amending subsections (b) and (c) filed 
9-16-92 pursuant to section 100, title 1 , California Code of Regulations (Regis- 
ter 92, No. 39). 

§ 548.155. Probationary Period. 

An employee who is reinstated pursuant to Sections 548.152 or 

548.153 shall be subject to the probationary period requirements speci- 
fied in Section 322. 

NOTE: Authority cited: Section 19889.3, Government Code. Reference: Sections 
19170, 19171 and 19889.3, Government Code. 

History 

1. Amendment filed 5-29-84; effective thirtieth day thereafter (Register 84, No. 
22). 

2. Change without regulatory effect amending section filed 9-16-92 pursuant to 
section 100, title 1, California Code of Regulations (Register 92, No. 39). 



Subchapter 3. State Personnel Board — 
Conflict of Interest Code 

§ 549. General Provisions. 

The Political Reform Act (Government Code Section 81000, et seq.) 
requires state and local government agencies to adopt and promulgate 
conflict of interest codes. The Fair Political Practices Commission has 
adopted a regulation (2 Cal. Code of Regs. Section 18730) which con- 
tains the terms of a standard conflict of interest code, which can be incor- 
porated by reference in an agency's code. After public notice and hearing 
it may be amended by the Fair Political Practices Commission to conform 
to amendments in the Political Reform Act. Therefore, the terms of 2 
California Code of Regulations Section 18730 and any amendments to 
it duly adopted by the Fair Political Practices Commission are hereby in- 
corporated by reference. This regulation and the attached Appendix des- 
ignating officials and employees and establishing disclosure categories, 
shall constitute the conflict of interest code of the STATE PERSONNEL 
BOARD. 

All designated employees shall file their statements with the STATE 
PERSONNEL BOARD who will make the statements available for pub- 
lic inspection and reproduction. (Gov. Code Section 81008). Upon re- 
ceipt of the statements of board members and the executive officer, the 
agency shall make and retain a copy and forward the original of these 
statements to the Fair Political Practices Commission. 
Note. Authority cited: Sections 87300 and 87304, Government Code. Reference: 
Section 87300, et seq.. Government Code. 



History 

1 . New subchapter 3 (sections 549-549.7 and Supplements) filed 5-27-77; effec- 
tive thirtieth day thereafter. Approved by Fair Political Practices Commission 
12-16-76 (Register 7, No. 22). 

2. Repealer of subchapter 3 (sections 549-549.7 and Supplements) and new sub- 
chapter 3 (section 549 and Appendix) filed 2-26-81 ; effective thirtieth day 
thereafter. Approved by Fair Political Practices Commission 12-1 -80 (Register 
81, No. 9). 

3. Amendment filed 1 1-22-91 ; operative 12-23-91 . Submitted to OAL for print- 
ing only (Register 92, No. 12). 

4. Amendment of Appendix filed 4-6-94; operative 5-6-94. Submitted to OAL 
for printing only. Approved by Fair Political Practices Commission 1-25-94 
(Register 94, No. 14). 

Appendix 

Assigned 
Designated Positions Disclosure Categories 

Board Member 1, 2, 3, 4 

Executive Officer 1, 2, 3, 4 

Assistant Executive Officer 1, 2, 3, 4 

All Division Chiefs 1, 2, 3, 4 

Chief Counsel 1, 2, 3, 4 

Staff Counsel 1, 2, 3, 4 

All Administrative Law Judges 1, 2, 3, 4 

Manager. Merit Appeals Office I, 2, 3, 4 

Consultant* 1 , 2, 3, 4 

Disclosure Categories 
Category 1 

Designated officials or employees assigned to this category must re- 
port: 

(1) Investments and business positions in any business entity and in- 
come from any source of the type which, within the last two years, has 
contracted with the State Personnel Board to provide services, supplies, 
materials, machinery or equipment. 
Category 2 

Designated officials or employees assigned to this category must re- 
port: 

(1) Investments and business positions in any business entity and in- 
come from any source of the type which, within the last two years, has 
contracted with the State Personnel Board to provide instructional or 
consultative services or facilities for training programs. 
Category 3 

Designated officials or employees assigned to this category must re- 
port: 

(1) Investments and business positions in any business entity and in- 
come from any source of the type which, within the last two years, has 
contracted with any county, city, district or other political subdivisions 
of the State or with State agencies excepted from State civil service to 
provide technical personnel management services. 
Category 4 

Designated officials or employees assigned to this category must re- 
port: 

(1) Investments and business positions in any business entity and in- 
come from any source which is an employment agency or a provider of 
temporary personnel. 



^Consultants shall be included in the list of designated employees and shall dis- 
close pursuant to the broadest disclosure category in the code subject to the follow- 
ing limitation: 

The execufive officer may determine in wrifing that a particular consultant, al- 
though a "designated position," is hired to perform a range of duties that is limited 
in scope and thus is not required to fully comply with the disclosure requirements 
in this section. Such written determination shall include a descripfion of the con- 
sultant's duties and, based upon that description, a statement of the extent of dis- 
closure requirements. The executive officer's determination is a public record and 
shall be retained for pubhc inspection in the same manner and location as this con- 
flict of interest code. 



Page 44.3 



Register 97, No. 49; 12-5-97 



§ 549.5 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



Subchapter 4. Demonstration Project and 

Performance Based Budget Pilot Project 

Rules (Promulgated Under Authority of 

Government Code Sections 11808, 18701, 

and 19600) 



Article 1. Demonstration 
Projects — Department of General Services 

§ 549.5. Class; Department of General Services — Career 
Management Assignment and Career 
Supervisory Assignment. 

For the demonstration projects implemented by the Department of 
General Services pursuant to Section 1 1 808 of the Government Code for 
Career Management Assignment and Career Supervisory Assignment 
"class" means a broadband class for which the same general title may be 
used to designate each position allocated to the class and which may in- 
clude more than one speciality area within the same general field of work. 
In addition to the minimum qualifications for each broadband class, other 
job-related qualifications may be required for particular positions within 
the class. These other job-related qualifications shall be described in the 
key position statement established for each position within the class. 
NOTE; Authority cited: Sections 1 8701 and 1 8702, Government Code. Reference: 
Sections 18701, 18702 and 19602, Government Code. 

History 

1. New subchapter 4, article 1 (sections 549.5-549.1 1 ) and section filed 1-30-97; 
operative 3-1-97 (Register 97, No. 5). 

2. Amendment of article heading, section heading, section and Note filed 
12-3-97; operative 12-3-97. Submitted to OAL for printing only pursuant to 
Government Code section 19602 (Register 97, No. 49). 

§ 549.6. Examinations; Department of General 

Services — Career Management Assignment 
and Career Supervisory Assignment. 

The demonstration projects implemented by the Department of Gener- 
al Services pursuant to Section 19600 et seq., of the Government code 
shall affect the examination process to select candidates for Career Man- 
agement Assignment and Career Supervisory Assignment positions. 
During these projects, this department shall conduct open or promotional 
examinations for positions classified as Career Management Assignment 
or Career Supervisory Assignment pursuant to the procedures in Sub- 
chapter 2, Article 4 (Section 548.30) and Article 5 (Section 548.40 
through 548.52) for Career Executive Assignments, with the following 
exceptions: 

(a) The examination announcements specified by Section 548.41 shall 
specify the general minimum qualifications for the position as prescribed 
in the class specification and thew other job-related qualifications de- 
scribed in the key position statement established for the particular posi- 
tion within the class. 

(b) The appointing power shall be governed by Subchapter 1, Section 
171.1 in determining whether an applicant has completed the minimum 
time required by the experience component in the minimum qualifica- 
tions, if any. 

(c) The appointing power shall send a notification indicating the re- 
sults of the selection process to all applicants for the posiUon. Any eligi- 
ble employee may appeal to the State Personnel Board, pursuant to Sec- 
tion 548.49, within 30 days of the date of the notification. 

NOTE: Authority cited: Sections 18701 and 18702, Government Code. Reference: 
Sections 18701, 18702 and 19602, Government Code. 

History 

1. New section filed 1-30-97; operative 3-1-97 (Register 97, No. 5). 

2. Amendment of first pragraph and NOTE filed 12-3-97; operative 12-3-97. Sub- 
mitted to OAL for printing only pursuant to Government Code section 19602 
(Register 97, No. 49). 



§ 549.7. General Reemployment Lists; Department of 
General Services — Career Management 
Assignment and Career Supervisory 
Assignment. 

(a) Within the classes in the Career Management Assignment and Ca- 
reer Supervisory Assignment categories there shall be maintained a gen- 
eral reemployment list for each class identified by functional subdivi- 
sion, recognizing individual position skill-based requirements as 
indicated in the key position statement for each position consisting of the 
names of all persons who have occupied posifions with probaUonary or 
permanent status in the class and who have been legally laid off or de- 
moted in lieu of layoff. 

(b) Within one year from the date of his or her resignation in good 
standing, or his or her voluntary demotion, the name of an employee who 
had probationary or permanent status may be placed on the general reem- 
ployment list as described in (a) above with the consent of the appoinung 
power and the board. The general reemployment list may also contain the 
names of persons placed thereon by the board in accordance with other 
provisions of law or rule. 

Note: Authority cited: Sections 1 8701 and 1 8702, Government Code. Reference: 
Sections 18701, 18702 and 19602, Government Code. 

History 

1. New section filed 1-30-97; operative 3-1-97 (Register 97, No. 5). 

2. Amendment of Note filed 12-3-97; operative 12-3-97. Submitted to OAL for 
printing only pursuant to Government Code section 19602 (Register 97, No. 
49). 

§ 549.8. Departmental or Subdivlslonal Reemployment 

Lists; Department of General Services — Career 
Management Assignment and Career 
Supervisory Assignment. 

Within the classes in the Career Management Assignment and Career 
Supervisory Assignment categories there shall be maintained a separate 
departmental reemployment list for each class identified by functional 
subdivision, recognizing individual position skill-based requirements as 
indicated in the key position statement for each position consisting of the 
names of persons on the general reemployment list but employed in the 
Department of General Services at the time of separation. There shall 
also be maintained a separate subdivisional reemployment list within the 
Department of General Services which shall consist of the names of per- 
sons employed in a subdivision of the Department of General Services 
at the time of separafion if subdivisions for the Department of General 
Services have been set up with the approval of the Department of Person- 
nel Administration for layoff purposes. 

NOTE: Authority cited: Sections 18701 and 18702, Government Code. Reference: 
Sections 18701, 18702 and 19602, Government Code. 

History 

1. New section filed 1-30-97; operative 3-1-97 (Register 97, No. 5). 

2. Amendment of Note filed 12-3-97; operative 12-3-97. Submitted to OAL for 
printing only pursuant to Government Code section 19602 (Register 97, No. 
49). 

§ 549.9. Probation; Department of General 

Services — Career Management Assignment 
and Career Supervisory Assignment. 

(a) The Department of General Service may, with the consent of the 
employee, extend the length of the employee's probationary period in 
any class within either the Career Management Assignment or the Career 
Supervisory Assignment categories. No extension shall exceed twelve 
(12) months or 1680 hours beyond the original proscribed probationary 
period for the class. 

(b) Requests to extend an employee's probationary period must be 
submitted in writing to the Personnel Office and approved by the Ap- 
pointing Authority at least five working days prior to completion of the 
initial 12-month probationary period. 

(c) A Job Improvement Plan (Plan) must be developed for any em- 
ployee who is subject to an extension of their probationary period. The 
Plan must specify any formal training, practice sessions, on-the-job 
training, or other alternative methods for job improvement which will be 



Page 44.4 



Register 97, No. 49; 12-5-97 



Title 2 



State Personnel Board 



§ 549.30 



used to bring the employee's performance to an acceptable level. The 
employee must participate in the development of the plan and agree to 
follow. 

(d) Performance evaluations must be provided at four (4)-month inter- 
vals and the employee may be passed or rejected at any time during the 
twelve (12)-month extension. 

(e) A rejection during the extended time period shall be considered the 
same as a rejection during the original probationary period and the em- 
ployee shall retain all rights accorded by law or rule. Notice to the em- 
ployee shall be in the manner proscribed by Government Code Section 
19173. 

(f) The employee will have the same rights to appeal a rejection during 
the extension of the probationary period as an employee who is rejected 
during the original probationary period. 

Note-. Authority cited: Sections 18701 and 18702, Government Code. Reference: 
Sections 18701, 18702 and 19602, Government Code. 

History 

1. New section filed 1-30-97; operative 3-1-97 (Register 97, No. 5). 

2. Repealer and new section and amendment of Note filed 12-3-97; operative 
12-3-97. Submitted to OAL for printing only pursuant to Government Code 
section 19602 (Register 97, No. 49). 

§ 549.10. Appeal from Rejection During Probation; 
Department of General Services — Career 
Management Assignment and Career 
Supervisory Assignment. 

(a) It is the intent of the Board that the Department of General Services 
and the employees appointed to Career Management Assignment or Ca- 
reer Supervisory Assignment classes will collaborate on the performance 
assessment standards to be used to identify and communicate quality of 
performance. 

(b) Employees that are rejected during probation from classes in the 
Career Management Assignment and Career Supervisory Assignment 
categories either during the original probationary period or an extension 
of that probationary period, will be permitted to appeal the rejection only 
on three grounds: (1) discrimination; (2) fraud; (3) patronage. Employees 
will file appeals with the Personnel Board. The Personnel Board will 
schedule the appeal for hearing only in cases where the rejected em- 
ployee has made a prima facie case at the threshold stage of the process. 
Appeals which do not allege and offer proof of one or more of the three 
grounds for appeal noted above will be dismissed with prejudice. 

(c) The decision of the board to modify the action of the appointing 
power pursuant to this rule shall be taken only if the board determines, 
after investigation or hearing, that the rejection was made as a result of 
discrimination, fraud or patronage. In any such proceeding, the rejected 
employee shall have the burden of proof. Subject to rebuttal by the em- 
ployee, it shall be presumed that the action was free from discrimination, 
fraud and patronage and that the statement of reasons in the notice of re- 
jection during probation is true. 

NOTE: Authority cited: Sections 18701 and 18702, Government Code. Reference: 
Secfions 18701, 18702 and 19602, Government Code. 

History 

1. New section filed 1-30-97; operative 3-1-97 (Register 97, No. 5). 

2. Amendment of subsections (b) and (c) and Note filed 12-3-97; operafive 
12-3-97. Submitted to OAL for printing only pursuant to Government Code 
section 19602 (Register 97, No. 49). 

§ 549.1 1 . Tenure of Managerial and Supervisory 
Employees; Department of General 
Services — Career Management Assignment 
and Career Supervisory Assignment. 

The provisions of Government Code Sections 19590 through 19593 
shall apply to employees appointed to classes in the Career Management 
Assignment category after November 1, 1995, and to employees ap- 
pointed to classes in the Career Supervisory Assignment category after 
November 5, 1996, except that notwithstanding Section 19593, these 
rules shall also apply to demotions from Career Management Assign- 



ment or Career Supervisory Assignment positions, regardless of when 
the managerial or supervisory appointment was effective. 
NOTE: Authority cited: Secfions 18701 and 18702, Government Code. Reference: 
Sections 18701, 18702, 18703 and 19602, Government Code. 

History 

1. New secfion filed 1-30-97; operative 3-1-97 (Register 97, No. 5). 

2. Amendment of section and Note filed 12-3-97; operafive 12-3-97. Submitted 
to OAL for printing only pursuant to Government Code section 1 9602 (Register 
97, No. 49). 

§ 549.12. Selection and Examinations; Department of 
General Services. 

The Department of General Services shall utilize the following certifi- 
cation process for all classes which would normally fall under the provi- 
sions of Government Code Sections 19057 aiid 19057.4 and are used 
within the department: 

For positions in these classes, there shall be certified to the appointing 
power the names and addresses of all those eligibles whose scores, at time 
of certification, represent the three highest ranks on the employment list 
for the class, and who have indicated their willingness to accept appoint- 
ment under the conditions of employment specified. 

For purposes of ranking, scores of eligibles on employment lists for 
these classes shall be rounded to the nearest whole percent. A rank shall 
consist of one or more eligibles with the same whole percentage score. 

If the names on the list from which certification is being made repre- 
sent fewer than three ranks, then additional eligibles shall be certified 
from the various lists next lower in order of preference until names from 
three ranks appear. If there are fewer than three names available for certi- 
fication, and the appointing authority does not choose to appoint from 
among these, the appointing authority may demand certification of three 
names. In that case, examinations shall be conducted until at least three 
names may be certified by the procedure described in this section; if the 
appointing authority is going to fill the position using the eligible list, it 
shall fill the position by appointment of one of the persons certified. 

History 

1 . New section filed 6-5-97; operative 6-5-97 pursuant to Government Code sec- 
tion 11 343.4(d). Submitted to OAL for prinfing only (Register 97, No. 29). 



Article 2. Demonstration Project — Health 
and Welfare Agency Data Center 

§ 549.30. Demonstration Project; Health and Welfare 
Agency Data Center Examinations and 
Appointments. 

If the Health and Welfare Agency Data Center appointing power 
wishes to appoint a competitor to a position for which an examination has 
been conducted within the Health and Welfare Agency Data Center dem- 
onstration project, the appointing power shall fill the vacancy by selec- 
tion of a competitor who has filed a timely application for the examina- 
tion pursuant to Section 174, who meets the minimum qualifications for 
the class, and who is judged to be among the best qualified available com- 
petitors as a result of evaluations made pursuant to Secfion 549.31. If the 
appoinfing power has at the same time or within one year of the final date 
specified for filing an application for the examinafion more than one va- 
cancy in the same class and for which the same or substantially similar 
job-related knowledge, skills and abilities are required, the first and ev- 
ery succeeding vacancy shall be filled in a like manner by selection of a 
competitor who has filed a timely application for the examination pur- 
suant to Section 174, who meets the minimum qualifications for the class 
and who is judged to be among the best qualified remaining competitors 
pursuant to Section 549.31 unless the appointing power chooses to con- 
duct anew examination, in which case the appointing power shall appoint 
a competitor judged to be among the best qualified in the new examina- 
tion and who also has filed a timely application for that examination and 
meets the minimum qualifications for the class. For the duration of the 
Health and Welfare Agency Data Center demonstration project and for 
a period of at least one year following its conclusion, the Health and Wel- 



Page 44.5 



Register 97, No. 49; 12-5-97 



§ 549.31 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



fare Agency Data Center shall maintain records of each examination con- 
ducted within the demonstration project. The records shall be sufficient 
to permit an independent review of examinations conducted within tiie 
demonstration project to determine whether they have complied with the 
intent of this Section, Section 549.31 and Article VII, Section 1(b) of the 
California Constitution. For each examination, such records shall in- 
clude, but not be limited to, (a) a list of competitors who filed an applica- 
tion for the examination together with a notation as to their date of filing, 
(b) justification whether each competitor met the minimum qualifica- 
tions for the class, and (c) a summary of the evaluation pursuant to Sec- 
tion 549.31 of each competitor who is offered a position. The provisions 
of this regulation do not apply if an appointment is to be made from a re- 
employment list under Government Code Section 19056. The provisions 
of this regulation do not apply if an appointment is to be made from agen- 
eral reemployment list pursuant to Government Code Section 19056.5, 
unless there are fewer than three persons on the general reemployment 
list willing to accept employment under the conditions of employment 
specified in which case the appointing power may appoint a competitor 
in accordance with the provisions of this Section. 

NoTE: Authority cited: Section 19602, Government Code. Reference: Section 
19602, Government Code. 

History 

1. New article 2 (sections 549.30-549.34) and renumbering and amendment of 
former section 216 to new section 549.30 filed 3-10-97; operative 3-10-97. 
Submitted to OAL for printing only (Register 97, No.l 1). 

§ 549.31 . Health and Welfare Agency Data Center 
Demonstration Project Competitive 
Evaluations. 

Evaluations of education, experience, job related knowledge, skills, 
abilities and behaviors, and personal qualifications shall be made on a 
competitive basis in that each competitor shall be evaluated thereon in 
relation to the minimum and desirable qualifications for the class and po- 
sition in question and in relation to the comparable qualifications of other 
competitors. The term "personal qualifications" includes all such person- 
ality traits and personal, moral, and physical characteristics as are neces- 
sarily comprehended by the minimum and desirable qualifications estab- 
lished for the class and position. When evaluating competitor's 
education, experience, and job related knowledge, skills, abilities and be- 
haviors, interviewers shall consider the quality, and pertinence of such 
education, experience, and job related knowledge, skills, abilities and be- 
haviors, and the degree to which competitor's total education and work 
histories and job related knowledge, skills, abilities and behaviors repre- 
sent suitable preparation for the work of the class and position. 
NOTE: Authority cited: Section 19602, Government Code. Reference: Section 
19602, Government Code. 

History 
1. Renumbering and amendment of former section 216.1 to new section 549.31 
filed 3-10-97; operative 3-10-97. Submitted to OAL for printing only (Regis- 
ter 97, No.l 1). 

§ 549.32. Health and Welfare Agency Data Center 

Demonstration Project Notices of Examination 
Results. 

As soon as an examination has been completed, each competitor shall 
be notified in writing of the results of this examination. 
NOTE: Authority cited: Section 19602, Government Code. Reference: Section 
19602, Government Code. 

History 
1. Renumbering of former section 216.2 to new section 549.32 filed 3-10-97; op- 

eradve 3-10-97. Submitted to OAL for printing only (Register 97, No.l 1). 

§ 549.33. Demonstration Project; Health and Welfare 
Agency Data Center; Definition of "Class"; 
Establishment of Minimum Qualifications. 

For the demonstration project at the Health and Welfare Agency Data 
Center, "class" means a consolidation of similar classes in the same occu- 



pational area into a broader and deeper grouping for which the same gen- 
eral tide may be used to designate each position allocated to the class and 
which may include more than one speciality area within the general field 
of work. In addition to the general minimum qualifications for each 
"class", other job related qualifications will be required for particular po- 
sitions within the class. The other job-related qualifications shall be de- 
scribed in the Individual Position Descripfions established for each posi- 
tion within the class. 

NOTE: Authority cited: Section 19602, Government Code. Reference: Section 
19602, Government Code. 

History 
1. New section filed 3-10-97; operative 3-10-97. Submitted to OAL for printing 
only (Register 97, No.l 1). 

§ 549.34. Demonstration Project; Health and Welfare 
Agency Data Center; Voluntary Transfer 
Between Classes. 

Voluntary transfer between the "classes" as defined in rule 549.33 and 

other classes will be permitted pursuant to State Personnel Board rules 

430-435, except transfers form the Health and Welfare Agency Data 

Center class of Information Technology Specialist, Range E to the 

classes of Senior Programmer Analyst (Specialist and Supervisor) and 

Senior Information Systems Analyst (Specialist and Supervisor) will not 

be permitted under any circumstances. 

Note: Authority cited: Section 19602, Government Code. Reference: Section 
19602, Government Code. 

History 

1. New secfion filed .3-10-97; operative 3-10-97. Submitted to OAL for printing 
only (Register 97, No.l 1). 



Article 3. Performance Based Pilot 
Projects — Department of Consumer Affairs 



§ 549.40. Selection and Examinations; Department of 
Consumer Affairs. 

The Department of Consumer Affairs shall utilize the following certi- 
fication process for all classes which would normally fall under the provi- 
sions of Government Code Sections 19057 and 19057.4 and are used 
within the department. 

For positions in these classes, there shall be certified to the appointing 
power the names and addresses of all those eligibles whose scores, at time 
of certification, represent the three highest ranks on the employment list 
for the class, and who have indicated their willingness to accept appoint- 
ment under the conditions of employment specified. 

For purposes of ranking, scores of eligibles on employment lists for 
these classes shall be rounded to the nearest whole percent. A rank shall 
consist of one or more eligibles with the same whole percentage score. 

If the names on the list from which certification is being made repre- 
sent fewer than three ranks, then additional eligibles shall be certified 
from the various lists next lower in order of preference unfil names from 
three ranks appear. If there are fewer than three names available for certi- 
ficafion, and the appointing authority does not choose to appoint from 
among these, the appointing authority may demand certification of three 
names. In that case, examinafions shall be conducted until at least three 
names may be cerfified by the procedure described in this section; if the 
appointing authority is going to fill the position using the eligible list, it 
shall fill the posifion by appointment of one of the persons certified. 
Note: Authority cited: Sections 18210, 18211, 18213 and 18701, Government 
Code. Reference: Sections 18211 and 18213, Government Code. 

History 

1. New article 3 (section 549.40) and section filed 3-19-97; operative 3-19-97. 
Submitted to OAL for printing only pursuant to Government Code sections 
1 82 1 1 and 1 82 1 3 (Register 97, No. 1 8). 

2. Amendment of section heading, section and Note filed 9-22-97; operative 
9-22-97. Submitted to OAL for prinfing only pursuant to Government Code 
sections 18211 and 18213 (Register 97, No. 45). 



Page 44.6 



Register 97, No. 49; 12-5-97 



Title 2 



State Personnel Board 



§ 549.67 



• 



Article 4. Demonstration 
Project — Multi-Departmental 

§ 549.50. Demonstration Project: Examination for 
Managerial Classifications. 

Under State Personnel Board supervision, any department specifically 
approved by State Personnel Board action to be included in this demon- 
stration project, shall conduct a demonstration project, pursuant to Sec- 
tions 19600 and J 9607 of the Government Code, affecting the examina- 
tion process to select candidates for managerial positions. During this 
demonstration project, these departments shall conduct examinations for 
positions classified as managerial pursuant to the procedures in Article 
4 (Section 548.30) and Article 5 (Section 548.40 through 548.52) for Ca- 
reer Executive Assignments, with the following exceptions: 

(a) The examination announcements specified by Section 548.41 shall 
specify the minimum qualifications for the position as prescribed for the 
specific classification. 

(b) The appointing powers shall be governed by Section 171.1 in de- 
termining whether an applicant' has completed the minimum time re- 
quired by the experience component in the minimum qualifications, if 
any. 

(c) The appointing power shall send a notification to all employees eli- 
gible for the position indicating which candidate has been selected. Any 
eligible employee may appeal to the State Personnel Board, pursuant to 
Section 548.49, within 30 days of the date of the notification. 

NOTE: Authority cited: Sections 18210, 18211, 18213 and 18701, Government 
Code. Reference: Sections 19600 and 19607, Government Code. 

History 
1 . New article 4 (section 549.50) and renumbering of former section 2 15.00 to new 
section 549.50, including amendment of section and Note, filed 9-17-97; op- 
erative 9-17-97. Submitted to OAL for printing only pursuant to Government 
Code sections 18210, 18211 and 18213 (Register 97, No. 38). 



Article 5. Demonstration 

Project — Managerial Selection and 

Classification Consolidation and 

Broadbanding — Servicewide by 

Departmental Option 



§ 549.60. Definition of "Class" and Establishment of 

Minimum Qualifications; Managerial Selection 
and Classification Consolidation and 
Broadbanding — Demonstration Project. 

NOTE: Authority cited: Sections 18701, 18702 and 19602, Government Code. 
Reference: Sections 18701, 18702 and 19600-19607, Government Code. 

History 

1. New article 5 (sections 549.60-549.67) and section filed 12-9-98; operative 
12-9-98. Submitted to OAL for printing only pursuant to Government Code 
section 19602 (Register 98, No. 50). 

2. Repealer of article 5 (sections 549.60-549.67) and section filed 3-23-2000; op- 
erative 3-23-2000. Submitted to OAL for printing only pursuant to Govern- 
ment Code section 18213 (Register 2000, No. 15). 



§ 549.62. Appointment; Managerial Selection and 
Classification Consolidation and 
Broadbanding Demonstration Project. 

NOTE: Authority cited; Sections 18701, 18702 and 19602, Government Code. 
Reference: Sections 18701, 18702 and 19600-19607, Government Code. 

History 

1. New section filed 12-9-98; operative 12-9-98. Submitted to OAL for printing 
only pursuant to Government Code section 19602 (Register 98, No. 50). 

2. Repealer filed 3-23-2000; operative 3-23-2000. Submitted to OAL for print- 
ing only pursuant to Government Code section 18213 (Register 2000, No. 15). 



§ 549.63. General Reemployment Lists; Managerial 

Selection and Classification Consolidation and 
Broadbanding Demonstration Project. 

NOTE: Authority cited: Sections 18701, 18702 and 19602, Government Code. 
Reference: Sections 18701, 18702 and 19600-19607, Government Code. 

History 

1. New section filed 12-9-98; operative 12-9-98. Submitted to OAL for printing 
only pursuant to Government Code section 19602 (Register 98, No. 50). 

2. Repealer filed 3-23-2000; operative 3-23-2000. Submitted to OAL for print- 
ing only pursuant to Government Code section 18213 (Register 2000, No. 15). 



§ 549.64. Departmental or Subdivisional Reemployment 
Lists; Managerial Selection and Classification 
Consolidation and Broadbanding 
Demonstration Project. 

NOTE: Authority cited: Secfions 18701, 18702 and 19602, Government Code. 
Reference: Secfions 18701, 18702 and 19600-19607, Government Code. 

History 

1. New section filed 12-9-98; operative 12-9-98. Submitted to OAL for printing 
only pursuant to Government Code section 19602 (Register 98, No. 50). 

2. Repealer filed 3-23-2000; operative 3-23-2000. Submitted to OAL for print- 
ing only pursuant to Government Code section 1 82 1 3 (Register 2000, No. 15). 



§ 549.65. Probation; Managerial Selection and 
Classification Consolidation and 
Broadbanding Demonstration Project. 

NOTE; Authority cited: Sections 18701, 18702 and 19602, Government Code. 
Reference: Secfions 18701, 18702 and 19600-19607, Government Code. 

History 

1. New section filed 12-9-98; operafive 12-9-98. Submitted to OAL for printing 
only pursuant to Government Code secuon 19602 (Register 98, No. 50). 

2. Repealer filed 3-23-2000; operafive 3-23-2000. Submitted to OAL for print- 
ing only pursuant to Government Code section 18213 (Register 2000, No. 15). 



§ 549.66. Transfer Between Classes; Managerial Selection 
and Classification Consolidation and 
Broadbanding Demonstration Project. 

NOTE: Authority cited: Sections 18701, 18702 and 19602, Government Code. 
Reference: Secfions 18701, 18702 and 19600-19607, Government Code. 

History 

1. New section filed 12-9-98; operative 12-9-98. Submitted to OAL for prinfing 
only pursuant to Government Code secfion 19602 (Register 98, No. 50). 

2. Repealer filed 3-23-2000; operative 3-23-2000. Submitted to OAL for print- 
ing only pursuant to Government Code secfion 1 821 3 (Register 2000, No. 15). 



§ 549.61. Selection and Examinations; Managerial 

Selection and Classification Consolidation and 
Broadbanding Demonstration Project. 

NOTE: Authority cited: Secfions 18701, 18702 and 19602, Government Code. 
Reference: Sections 18701, 18702 and 19600-19607, Government Code. 

History 

1. New section filed 12-9-98; operafive 12-9-98. Submitted to OAL for prinfing 
only pursuant to Government Code secfion 19602 (Register 98, No. 50). 

2. Repealer filed 3-23-2000; operative 3-23-2000. Submitted to OAL for print- 
ing only pursuant to Government Code section 1 8213 (Register 2000, No. 15). 



§ 549.67. Compensation; Managerial Selection and 
Classification Consolidation and 
Broadbanding Demonstration Project. 

NOTE: Authority cited: Sections 18701, 18702 and 19602, Government Code. 
Reference: Sections 18701, 18702 and 19600-19607, Government Code. 

History 

1. New section filed 12-9-98; operafive 12-9-98. Submitted to OAL for printing 
only pursuant to Government Code section 19602 (Register 98, No. 50). 

2. Repealer filed 3-23-2000; operafive 3-23-2000. Submitted to OAL for print- 
ing only pursuant to Government Code secfion 18213 (Register 2000, No. 1 5). 



Page 44.7 



Register 2005, No. 12; 3-25-2005 



§ 549.70 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



Article 6. Legislative Counsel Bureau — 

Special Examination and Appointment 

Program 

§ 549.70. Legislative Counsel Bureau: Examinations and 
Appointments. 

If the Legislative Counsel Bureau appointing power wishes to appoint 
a competitor to an information technology position for which an exami- 
nation has been conducted, the appointing power shall fill the vacancy 
by selection of a competitor who has filed a timely application for the ex- 
amination pursuant to Section 174, who meets the minimum qualifica- 
tions for the class, and who is judged to be among the best quahfied avail- 
able competitors as a result of evaluations made pursuant to Section 
549.71. 

If the appointing power has at the same time or within one year of the 
final date specified for filing an application for the examination more 
than one vacancy in the same class and for which the same or substantial- 
ly similar job-related knowledge, skills, and abilities are required, the 
first and every succeeding vacancy shall be filled in a like manner by se- 
lection of a competitor who has filed a timely application for the exami- 
nation pursuant to Section 174, who meets the minimum qualifications 
for the class and who is judged to be among the best qualified remaining 
competitors pursuant to Section 549.71, unless the appointing power 
chooses to conduct a new examination, in which case the appointing 
power shall appoint a competitor judged to be among the best qualified 
in the new examination and who also has filed a timely application for 
that examination and who meets the minimum qualifications for the 
class. 

The Legislative Counsel Bureau shall maintain records of each exami- 
nation conducted. The records shall be sufficient to permit an indepen- 
dent review of examinations conducted to determine whether they have 
complied with the intent of this Section, Section 549.71 , and Article VII, 
Section 1(b) of the California Constitution. For each examination, such 
records shall include, but not be limited to (a) a list of competitors who 
filed an application for the examination together with a notation as to 
their date of fihng; (b) justification whether each competitor met the 
minimum quahfications for the class; and (c) a summary of the evalua- 
tion pursuant to Section 549.71 of each competitor who is offered a posi- 
tion. 

The provisions of this regulation do not apply if an appointment is to 
be made from a reemployment list under Government Code Section 
19056. The provisions of this regulation do not apply if an appointment 
is to be made from a general reemployment list pursuant to Government 
Code Section 19056.5, unless there are fewer than three persons on the 
general reemployment list willing to accept employment under the con- 
ditions of employment specified, in which case the appointing power 
may appoint a competitor in accordance with the provisions of the Sec- 
tion. 

Examinations shall be conducted pursuant to the procedures in Article 
4 (commencing with Section 548.30) and Article 5 (commencing with 
Section 548.40) as with Career Executive Assignments. 
NOTE: Authority cited: Sections 10205.1, 18701 and 18702, Government Code. 
Reference: Sections 18701 and 18702, Government Code. 

History 

1. Nevi' article 6 (sections 549.70-549.74) and new section filed 1-6-98; operative 
] -6-98. Submitted to OAL for printing only pursuant to Government Code sec- 
tion 19602 (Register 98, No. 2). 

2. Amendment of section heading, section and Note filed 3-21-2005; operative 
3-21-2005 pursuant to Government Code section 1 1343.4. Submitted to OAL 
for printing only (Register 2005, No. 12). 

§ 549.71 . Legislative Counsel Bureau: Competitive 
Evaluations. 

Evaluations of education, experience, job-related knowledge, skills, 
abilities, behaviors, and personal qualifications shall be made on a com- 



petitive basis in that each competitor shall be evaluated thereon in rela- 
tion to the minimum and desirable qualifications for the class and posi- 
tion in question and in relation to the comparable qualifications of other 
competitors. The term "personal qualifications" includes all such person- 
ality traits and personal, moral, and physical characteristics as are neces- 
sarily comprehended by the minimum and desirable qualifications estab- 
lished for the class and position. 

When evaluating a competitor's education, experience, and job-re- 
lated knowledge, skills, abilities, and behaviors, interviewers shall con- 
sider the quality and pertinence of such education, experience, and job- 
related knowledge, skills, abilities, and behaviors, and the degree to 
which the competitor's total education and work history and job-related 
knowledge, skills, abilities, and behaviors represent suitable preparation 
for the work of the class and position. 

NOTE: Authority cited: Sections 10205.1, 18701 and 18702, Government Code. 
Reference: Sections J 8701 and 18702, Government Code. 

History 

1. New section filed 1-6-98; operative 1-6-98. Submitted to OAL for printing 
only pursuant to Government Code section 19602 (Register 98, No. 2). 

2. Amendment of section heading and Note filed 3-21-2005; operative 
3-21-2005 pursuant to Government Code secfion 11 343.4. Submitted to OAL 
for printing only (Register 2005, No. 12). 

§ 549.72. Legislative Counsel Bureau: Notice of 
Examination Results. 

As soon as an examination has been completed, each competitor shall 
be notified in writing of the results of the examination. Pursuant to Sec- 
tion 548.49, an appeal shall be filed within thirty (30) days from the date 
the candidate was notified of the examination results. 
NOTE: Authority cited: Sections 10205.1, 18701 and 18702, Government Code. 
Reference: Sections 18701 and 18702, Government Code. 

History 

1. New section filed 1-6-98; operative 1-6-98. Submitted to OAL for printing 
only pursuant to Government Code secfion 19602 (Register 98, No. 2). 

2. Amendment of section heading, secfion and Note filed 3-21-2005; operative 
3-21-2005 pursuant to Government Code section 1 1343.4. Submitted to OAL 
for prinfing only (Register 2005, No. 12). 

§ 549.73. Legislative Counsel Bureau: Definition of 
"Class" and Establishment of Minimum 
Qualifications. 

For the Legislative Counsel Bureau, "class" means a consolidation of 
similar classes in the same occupational area into a broader and deeper 
grouping for which the same general title may be used to designate each 
posifion allocated to the class and which may include more than one spe- 
cialty area within the general field of work. 

In addition to the general minimum qualifications for each "class", 
other job-related qualifications will be required for particular positions 
within the class. The other job-related qualifications shall be described 
in the individual Position Descriptions established for each position 
within the class. 

NOTE: Authority cited: Sections 10205.1, 18701 and 18702, Government Code. 
Reference: Secfions 18701 and 18702, Government Code. 

History 

1. New secfion filed 1-6-98; operative 1-6-98. Submitted to OAL for prinfing 
only pursuant to Government Code secfion 19602 (Register 98, No. 2). 

2. Amendment of section heading, secfion and Note filed 3-21-2005; operafive 
3-21-2005 pursuant to Government Code section 1 1343.4. Submitted to OAL 
for printing only (Register 2005, No. 12). 

§ 549.74. Legislative Counsel Bureau: Voluntary Transfer 
Between Classes. 

Voluntary transfer between the "classes" as defined in Rule 549.73 
and other classes will be permitted pursuant to State Personnel Board 
Rules 430^35, except that transfers from the Legislative Counsel Bu- 
reau class of Information Technology Specialist, Range E to the classes 
of Senior Programmer Analyst (Specialist and Supervisor) and Senior In- 
formation Systems Analyst (SpeciaUst and Supervisor) will not be per- 
mitted under any circumstances. 

NOTE: Authority cited: Secfions 10205.1, 18701 and 18702, Government Code. 
Reference: Sections 18701 and 18702, Government Code. 



• 



Page 44.8 



Register 2005, No. 12; 3-25-2005 



Title 2 



State Personnel Board 



§ 549.95 



• 



HrSTORY 
New section filed 1-6-98; operative 1-6-98. Submitted to OAL for printing 
only pursuant to Government Code section 19602 (Register 98, No. 2). 

, Amendment of section heading and Note filed 3-21-2005; operative 
3-21-2005 pursuant to Governinent Code section 1 1343.4. Submitted to OAL 
for printing only (Register 2005, No. 12). 



Article 7. Department of Motor 

Vehicles — Special Examination and 

Appointment Program 

§ 549.80. Department of Motor Vehicles: Managerial and 
Supervisory Selection and Examination. 

Pursuant to Government Code section 19602.5, the Department of 
Motor Vehicles (DMV) may conduct examinations and make appoint- 
ments to select candidates for specified managerial and supervisory clas- 
sifications, as approved by the Executive Officer. Examinations for the 
above identified classifications shall be conducted pursuant to the proce- 
dures in Article 4 (Section 548.30) and Article 5 (Section 548.40 through 
548.52) for Career Executive Assignments, with the following excep- 
tions: 

(a) The examination announcements specified by Section 548.41 shall 
specify the minimum qualifications for the position as prescribed for the 
specific classification. 

(b) The appointing power shall be governed by Section 1 7 1 . 1 in deter- 
mining whether an applicant has completed the minimum time required 
by the experience component in the minimum qualifications, if any. 

(c) Any eligible employee or applicant may appeal to the State Person- 
nel Board, pursuant to Section 548.49, within thirty (30) days of the date 
of the notification of examination results. 

(d) Examinations may be either open or promotional. 

Note-. Authority cited: Sections 18701 and 19602.5, Government Code. Refer- 
ence: Sections 18930, 19054.1, 19600, 19605 and 19607, Government Code. 

History 

1. New article 7 (section 549.80) and section filed 6-27-2001; operative 
6-27-2001 pursuant to Government Code section 1 1343.4. Submitted to OAL 
for printing only pursuant to Government Code section 19602 (Register 2001, 
No. 26). 

2. Amendment of article heading, section heading, section and Note filed 
3- 1 9-2007 ; operative 1 -9-2007 pursuant to Government Code section 1 822 1 . 
Submitted to OAL for filing and printing only pursuant to Government Code 
section 11343.8 (Register 2007, No. 12). 

3. Amendment of first paragraph filed 2-25-2008; operative 1-22-2008. Sub- 
mitted to OAL for printing only pursuant to Government Code sections 18211 
and 18213 (Register 2008, No. 9). 



Article 8. California Department of 
Transportation 

§ 549.90. California Department of Transportation 
Managerial Selection Program. 

Under State Personnel Board supervision, the California Department 
of Transportation (Department) shall conduct the examination process to 
select candidates for positions designated MOl and M09. The Depart- 



ment shall conduct examinations for the above identified classifications 
pursuant to the procedures in Article 4 (Section 548.30) and Article 5 
(Section 548.40 through 548.52) for Career Executive Assignments, 
with the following exceptions: 

(a) The examination announcements specified by Section 548.41 shall 
specify the minimum qualifications for the position as prescribed for the 
specific classification. 

(b)The appointing power shall be governed by Section 171.1 in deter- 
mining whether an applicant has completed the ininimum time required 
by the experience component in the minimum qualifications, if any. 

(c) Any eligible employee may appeal to the State Personnel Board, 
pursuant to Section 548.49, within thirty (30) days of the date of the noti- 
fication of examination results. 

(d) Examinations may be either open or promotional. 

NOTE; Authority cited: Section 18701, Government Code. Reference: Sections 
19600, 19605 and 19607, Government Code. 

History 

1. New article 8 (section 549.90) and section filed 9-17-2001; operative 
9-1 7-2001 . Submitted to OAL for printing only pursuant to Government Code 
section 19602(f) (Register 2001, No. 38). 

2. Amendment of article heading, section heading and section filed 3-19-2008; 
operative 1-22-2008. Submitted to OAL for printing only pursuant to Govern- 
ment Code section 19602(0 (Register 2008, No. 12). 



Article 9. 



Demonstration Project — Prison 
Industry Authority 



§ 549.95. Prison Industry Authority Managerial and 

Supervisory Selection Demonstration Project. 

Under State Personnel Board (SPB) supervision, the Prison Industry 
Authority (PIA) shall conduct a demonstration project, pursuant to Gov- 
ernment Code Sections 1 9600, 19605, and 19607, affecting the examina- 
tion process to select candidates for positions designated Ml 2 and SI 2 
within PIA. During this demonstration project, the department shall con- 
duct examinations for the above-identified classifications pursuant to 
the procedures in Article 4 (Section 548.30) and Article 5 (Sections 
548.40 through 548.52) for Career Executive Assignments for testing 
purposes only, with the following exceptions: 

(a) The examination announcements specified by Section 548.41 shall 
specify the minimum qualifications for the position as prescribed in the 
specific classification. 

(b) The appointing power shall be governed by Section 171 .1 in deter- 
mining whether an applicant has completed the minimum time required 
by the experience component in the minimum qualifications, if any. 

(c) Any eligible employee may appeal to SPB, pursuant to Section 
548.49, within thirty (30) days of the date of the notification of the ex- 
amination results. 

(d) Examinations may be either open or promotional. 

NOTE: Authority cited: Section 18701, Government Code. Reference: Sections 
19600, 19605 and 19607, Government Code. 

History 
1. New arucle 9 (section 549.95) and section filed 11-4-2002; operative 

1 1-4-2002. Submitted to OAL for printing only pursuant to Government Code 

section 19602(f) (Register 2002, No. 45). 



* * * 



Page 44.9 



Register 2008, No. 12; 3-21-2008 



JB. 



Barclays Official 

California 

Code of 
Regulations 



Title 2. Administration 

Division 1. Administrative Personnel 

Chapter 2. Board of Administration of Public Employees' 

Retirement System 



Vol.2 



XMOIVISOISI 

^ 

WEST 



Barclays Official California Code of Regulations 

425 Market Street • Fourth Floor • San Francisco, CA 94105 
800-888-3600 



Title 2 



Public Employees' Retirement System Board 



Table of Contents 



Chapter 2. Board of Administration of Public Employees' Retirement System 



Table of Contents 



Page 



Page 



Subchapter 1, 



Article 1. 

§ 550. 

§5.50.1. 

§551. 



Employees' Retirement 
System Regulations 



General 

Definitions. 
Definitions. 
Location of Offices. 



45 



45 



Article 2. Administration 45 

§ 554. Election of Boai'd Members. 

§ 554.1. Agency Responsibilities in Active 

Member Elections. 
§ 554.2. Notice of Election. 

§554.3. Nomination of Candidates 

[Effective until 1-16-2002]. 
§554.3. Nomination of Candidates 

[Effective 1-16-2002]. 
§ 554.4. Candidate Statements [Effective 

until 1-16-2002]. 
§ 554.4. Candidate Statements [Effective 

1-16-2002]. 
§ 554.5, Ballot Distribution. 

§ 554.6. Ballot Counting [Effective until 

1-16-2002]. 
§ 554.6. Ballot Counting and Runoff 

Election [Effective 1-16-2002]. 
§ 554.7. Notice of Election Results [Effective 

until 1-16-2002]. 
§ 554.7. Notice of Election Results [Effective 

1-16-2002]. 
§ 554.8. Recount of an Election [Effective 

until 1-16-2002]. 
§ 554.8. Recount of an Election [Effective 

1-16-2002]. 
§ 554.9. Protest of an Election. 

§ 554.10. Ballot Designations [Effective until 

1-16-2002]. 
§ 554.10. Ballot Designations [Effective 

1-16-2002]. 
§ 555. Action of Executive Officer. 

§555.1. Right of Appeal. 

§ 555.2. Statement of Issues. 

§ 555.3. Accusation. 

§ 555.4. Hearings. 

§ 556. Service Fees. 

§ 558. Incompatible Activities Statement. 

Article 3. Public Employees' Retirement 

System — Conflict of 

Interest Code 48 

§ 560. General Provisions. 

Appendix 48 

Article 3.5. IVIember Home Loan Program 49 

§ 561. Scope and Authority. 

§561.1. Program Criteria. 

§561.2. Definitions. 

§ 561 .3. Eligibility for Loans. 

§ 561 .4. Loan Standards. 

§561.5. Rates. 

§ 561.6. Proof of Occupancy. 

§ 561.7. Failure to Comply with Certification 
and Notice Requirement. 



§ 561 .8. Amount of Loan and Mortgage 

Insurance. 

§ 561 .9. Term of Loan. 

§561.10. Prepayment Penalties. 

§ 561 . 1 1 . Origination and Servicing of Loans. 

§ 561.12. Commitments. 

§561.13. Purchase Price. 

§ 561.14. Administration of the Program. 

Article 4. Contracts 50.1 



§ 565. 


Payment of Contributions. 


§565.1. 


Fihng of Payroll Report. 


§ 565.2. 


Interest on Late Payments. 


§ 565.3. 


Cost Assessment for Late 




Reporting. 


§ 565.4. 


Time Extension. 


§ 566. 


Contract Amendments. 


§ 566.1. 


Employer-Paid Member 




Contributions (EPMC) 




Conversions. 


§569. 


Employer Paid Member 




Contributions. 


§ 570. 


Final Settlement Pay. 


§571. 


Definifion of Special 




Compensation. 


§572. 


Employees Not In a Group or Class 




of Employment. 


§573. 


Optional Membership. 


Article 5. 


Member Contributions 52.5 


§575. 


Refund of Additional Contributions. 


§575.1. 


Deposit of Contributions. 


§ 575.2. 


Deposit of Contributions Pursuant to 




Government Code Section 21073.1 . 


§ 576. 


Additional Contributions by 




Employer. 


Article 6. 


Service Credit 5''.6 


Article 7. 


Benefits 52.6 



§580. 
§ 580.1. 

§581. 
§582. 
§ 583. 
§585. 

Article 7.5. 



§586. 
§ 586.1. 
§ 586.2. 

Article 7.6. 



§ 588. 
§588.1. 



§ 588.2. 
§ 588.3. 



Dependency. 

FuU-Time Student — Educational 

Institution. 

Retirement Allowance Deductions. 

Beneficiary Designations. 

Election of Survivor Coverage. 

Retirement Optional Settlement 4. 

Normal Retirement Age and 

Bona Fide Separation in 

Service 52.8 

Purpose. 

Normal Retirement Age. 

Bona Fide Separation in Service. 

Participation in Risk 

Pools 52.8(a) 

Risk Pools — Definitions. 

Risk Pools — Required 

Participation for Existing 

Contracting Agencies. 

Risk Pools — Required 

Participation for New Contracting 

Agencies. 

Risk Pools — Optional 

Participation. 



Page i 



(4-13-2007) 



Table of Contents 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



Page 



Page 



§ 588.4. 



§ 588.5. 
§ 588.6. 



§ 588.7. 


§ 588.8. 


§588.9. 


§588.10. 


Ai'ticle 8. 


§ 589. 


§589.1. 


§ 589.2. 


§ 589.3. 


§ 589.4. 


§ 589.5. 


§589.6. 


§ 589.7. 


§ 589.8. 


§ 589.9. 


§589.10. 


Subchapter 2. 


Article 1. 


§590. 


§ 591. 


§592. 


Article 2. 


§ 593. 


§ 594. 


§595. 


§ 596. 


§597. 


§ 598. 


§598.1. 


§ 598.50. 


Article 3. 


§ 598.60. 


§598.61. 


§ 598.62, 


§ 598.63. 


§ 598.64. 


§ 598.65. 


§ 598.66. 


§ 598.67. 


§ 598.68. 


§ 598.69, 


§ 598.75. 


§598.81. 


§ 598.90. 


Article 6. 


§599. 


§ 599.1. 



Risk Pools — County OITices of 

Education. School Districts and 

Community College Districts. 

Risk Pools — Amortization of Side 

Funds. 

Risk Pools — Assignment to Risk 

Pools. 

Risk Pools — Leaving and 

Transferring Between Risk Pools. 

Risk Pools — Classification of 

Benefit Provisions. 

Risk Pools — Merger of Risk Pools. 

Risk Pools — Superfunded Status. 

Replacement Benefits Plan 

Establishment and Status of Plan. 

Definitions. 

Participation. 

Retirement Benefits. 

Funding. 

Taxes. 

Exemption from Process; 

Assignments Prohibited. 

Administration. 

Source of Benefits. 

Miscellaneous. 

Amendment or Termination of Plan. 



§ 599.3. Notice of Right to Transfer. 

§ 599.4. Member Request for Transfer. 

§ 599.5. Modification Providing for Transfer. 

§ 599.6. Transfer of School Members. 

§ 599.7. Transfer of State Members. 

Article 7. Termination Procedures for 
Local Public Agencies 



52.8(b) 



§ 599.50. 


Adoption of Resolution or 




Ordinance. 


§599.51. 


Provisions of Termination 




Resolution or Ordinance. 


§ 599.52. 


Notification of Federal 




Government. 


§ 599.53. 


Cancellation of Termination 




Procedures. 


§ 599.54. 


Audit of Records of Terminating 




Agency. 


§ 599.55. 


Extension of Termination 




Procedures. 


Subchapter 3. 


Public Employees' Medical 



56 



Social Security (OASDHI) 
Regulations 



52.8(f) 



General 52.8(f) 

Location of Offices. 

Definitions. 

Tenses, Gender and Number. 

Referendum Procedures for 

Local Public Agencies 53 

Adoption of Resolution. 

Date of Referendum. 

Submission of Proposed Notice and 

Procedure. 

Notice of Referendum. 

Referendum Ballots. 

Certification of Referendum. 

Ratification. 

Authorization for Division; 

Supervision by Referendum 

Supervisor. 

Division of Retirement 
Systems 

Authorization for Division. 

Division Elecfion. 

Resolution Requesting Division. 

Executive Officer's Authorization. 

Notice of Division. 

Division Election Form. 

Certificate of Conduct of Division. 

Division Supervisor's Certificate. 

Application and Agreement. 

Application of Article. 

Authorization for Division. 

Authorizafion for Division. 

Resolution of Intention. 

Transfer of Members of 
Divided System 



and Hospital Care Act 

Regulations 56 

Article 1. Definitions, Coverage, 
Enrollment, Conversion, 
Minimum Standards, 
Alternative Benefit Plans, 
Contributions, Contingency 
Reserve Fund, Contracting 
Agency Participation and 
Medicare Part B 56 



54 



§ 599.500. 


Definitions. 


§599.501. 


Coverage. 


§ 599.502. 


Enrollment. 


§ 599.503. 


Effective Date of Enrollment. 


§ 599.504. 


Continuation of Enrollment. 


§ 599.505. 


Cancellation of Enrollment. 


§ 599.506. 


Termination of Enrollment. 


§ 599.507. 


Conversion. 


§ 599.508. 


Minimum Standards for Health 




Benefits Plans. 


§ 599.509. 


Minimum Standards for Health 




Benefits Carriers. 


§ 599.510. 


Minimum Scope and Content of 




Basic Health Benefits Plans. 


§599.511. 


Alternative Benefit Plans. 


§ 599.512. 


Contributions. 


§ 599.513. 


Public Employees' Contingency 




Reserve Fund. 


§ 599.514. 


Application for Approval of Major 




Medical Plans Offered by Employee 




Organizations. 


§ 599.515. 


Contracting Agency ParticipaUon. 


§ 599.516. 


Payment of Surcharges for Late 




Enrollment in Medicare Part B. 


§ 599.517. 


Termination of Enrollment in Basic 




Health Benefits Plan for Failure to 




Enroll In Part A and Part B of 




Medicare. 



Article 2. 



55 



§ 599.2. 



Authorization for Transfer. 
Resolution Requesfing 
Transfer — Contents. 
Resolufion Requesfing 
Transfer — Time for Filing. 



Prefunding Plan for Health 
Care Coverage for 
Annuitants 



66.2 



§ 599.550. 
§ 599.552. 
§ 599.553. 
§ 599.554. 



Page ii 



(4-13-2007) 



Title 2 



Public Employees' Retirement System Board 



§ 554.2 



Chapter 2. Board of Administration of 
Public Employees' Retirement System 

Subchapter 1. Employees' Retirement 
System Regulations 

Article 1 . General 

§ 550. Definitions. 

For the purpose of the regulations contained in this subchapter, the 
term "board" means Board of Administration, PubUc Employees' Retire- 
ment System; "retirement allowance" means a service retirement allow- 
ance or disability retirement allowance payable under the Public Em- 
ployees' Retirement Law to a retired person; "group insurance plan" 
means a policy of group life, accident, health, or disability insurance, or 
a contract of a nonprofit membership corporation for the purpose of de- 
fraying the cost of medical service (including service rendered by doctors 
of medicine, doctors of osteopathy, or doctors of chiropractic) or hospital 
care, or both. 

NOTE: Authority cited: for Subchapter 1 (§§ 550 and 551): Sections 20120 and 
20630, Government Code. Additional authority cited: Sections 20135, 20303, 
22500, Government Code. Reference: Section 20133, Government Code. 

History 

1 . New Subchapter 1 ( §§ 550 and 551) filed 12-1 5-59; effective 30th day thereaf- 
ter (Register 59, No. 21). 

2. Repealer of Subchapters 1 and 1.1, and new Subchapter 1 (Sections 550, 550.1, 
560, 575, 580, 581) filed 6-29-60; effective thirtieth day thereafter (Register 
60, No. 15). (For history of Subchapter 1.1, see Registers 56, No. 7, and 57, No. 
18). 

3. Amendment filed 8-5-76; effective thirtieth day thereafter (Register 76, No. 
32). 

§550.1. Definitions. 

History 
1. Repealer filed 8-5-76; effective thirtieth day thereafter (Register 76, No. 32). 

§ 551 . Location of Offices. 

The office of the board is located at 400 P Street, Sacramento, Califor- 
nia. Correspondence should be addressed to the Executive Officer, Pub- 
lic Employees' Retirement System, P.O. Box 942702, Sacramento, Cali- 
fornia 94229-2702. 

NOTE: Authority cited: Section 20120, Government Code. Reference: Section 
20133, Government Code. 

History 

1. New section filed 8-5-76; effective thirtieth day thereafter (Register 76, No. 
32). 

2. Change without regulatory effect amending section filed 6-12-96 pursuant to 
section 100, title 1, California Code of Regulations (Register 96, No. 24). 

Article 2. Administration 

§ 554. Election of Board Members. 

Board member elections shall be conducted by the Election Coordina- 
tor designated by the Executive Officer in accordance with procedures 
adopted by the Board. 

All CalPERS staff directly involved in conducting Board elections 
shall be required to sign a statement that they have fully complied with 
the CalPERS Board election procedures and have faithfully performed 
their assigned duties in the election. These statements shall be on file with 
the CalPERS Executive Office and shall be completed each time an elec- 
tion is held. No CalPERS staff directly involved in conducting a Cal- 
PERS election shall use his/her official position to favor one candidate 
over another. Nothing in this section shall prohibit CalPERS staff who 
are eligible to vote in an election from exercising the same personal rights 
as other eligible voters. 

NOTE: Authority cited: Section 20121, Government Code. Reference: Section 
20096, Government Code. 



History 

1. New section filed 7-2-82; effective thirtieth day thereafter (Register 82, No. 
27). For history of Article 2, see Register 64, No. 1 7. 

2. Amendment filed 7-9-84; effective thirtieth day thereafter (Register 84, No. 
28). 

3. Amendment of Note filed 8-24-98; operative 9-23-98 (Register 98, No. 35). 

4. Amendment of second parasraph filed 1 1 -30-2000 as an emergency; operative 
1 1-30-2000 (Register 2000, No. 48). A Cenificate of Compliance must be 
transmitted to OAL by 3-30-2001 or emergency language will be repealed by 
operation of law on the following day. 

5. Change without regulatory effect correcting 11-30-2000 emergency action 
filed 12-18-2000 pursuant to section 100, title 1, California Code of Regula- 
tions (Register 2000, No. 51). 

6. Pursuant to the order of the Superior Court of California, Court of Sacramento, 
dated April 20, 2001, in California State Employees Association. Local WOO, 
SEIU, AFL-CIO, CLC v. Public Employees Retirement System, et ai. No. 
OOCSOI 662, the emergency amendment filed 1 1-30-2000 has been invalidated 
and is unenforceable until adopted in full compliance with the Administrative 
Procedure Act. Reinstatement of section as it existed prior to 1 1-30-2000 emer- 
gency amendment (Register 2001, No. 22). 

7. Amendment filed 8-2-2001; operative 9-1-2001 (Register 2001, No. 31). 

§ 554.1 . Agency Responsibilities in Active Member 
Elections. 

Each public agency and each State department shall appoint an 
Agency Election Officer at the request of the Board in elections for Board 
members. Agencies shall immediately notify the Board of any change in 
the appointment. 

Agency Election Officers shall: 

(a) Certify that the designated Election Officer understands and will 
comply with the election instructions and that actions taken will be com- 
patible with ethical election practices. 

(b) Ensure the timely distribution to eligible members or posting of 
election materials sent by the Election Coordinator, according to the 
Election Coordinator's instructions. 

(c) Ensure impartiality of the election process within the agency. 

(d) Ensure no campaign material is distributed with the election mate- 
rial sent by the Election Coordinator. 

(e) Promptly provide any information necessary to the election pro- 
cess at the request of the Election Coordinator. 

(f) Certify, under penalty of perjury, that election materials were for- 
warded to PERS members in that agency, as instructed by the Election 
Coordinator. 

NOTE: Authority cited: Section 20121, Government Code. Reference: Section 
20096, Government Code. 

History 

1 . New section filed 7-2-82; effective thirtieth day thereafter (Register 82, No. 
27). 

2. Amendment filed 7-9-84; effective thirtieth day thereafter (Register 84, No. 
28). 

3. New subsection (a), repealer of former subsection (b) and amendment of newly 
designated subsection (b), and amendment of subsections (d) and (f) filed 
8-9-94; operative 9-8-94 (Register 94, No. 32). 

4. Amendment of Note filed 8-24-98; operative 9-23-98 (Register 98, No. 35). 

§ 554.2. Notice of Election. 

(a) Before each election for a Board member identified in Government 
Code 20090, subdivision (g) or a special election to fill a vacancy pur- 
suant to Government Code section 20095, the Board shall adopt a Notice 
of Election. The complete text of the Notice of Election shall be adopted 
as an agenda item at a regularly noticed public meeting of the Board. 

(b) The Notice of Election shall contain: 

i. A statement of whether, at the time of the adoption of the Notice of 
Election, the incumbent intends to be a candidate for reelection, pursuant 
to Government Code section 20096.3; 

ii. The election schedule, including without limitation, the date for 
submission of Nomination Petition forms. Nomination Acceptance/Bal- 
lot Designation forms, and the dates of the election pursuant to this sec- 
tion and section 554.3 of this article; 

iii. Eligibility criteria for candidates and voters pursuant to Govern- 
ment Code section 20090, subdivision (g); 

iv. Candidate nomination and election procedures as provided in sec- 
tion 554.3 of this article; 



Page 45 



Register 2008, No. 26; 6-27-2008 



§ 554.3 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



V. Information required by the Nomination Petition as provided in sec- 
tion 534.3, subdivisions (b) and (c), of this article; 

vi. Tlie minimum number of valid original signatures required for 
nomination as a candidate pursuant to section 554.3, subdivision (e) of 
this article; and 

vii. Such other intbrmation as determined by the Board at the noticed 
public meeting. 

(c) The election schedule shall provide the Board adequate time and 
flexibility to accommodate the nomination and candidate statement ar- 
bitration processes, various administrative procedures and voting peri- 
ods, including the opportunity for a run-off election, if necessary, and to 
seat the newly elected Board members by statutory deadlines. In no event 
shall ballots be distributed to voters earlier than 60 days after the adoption 
of the original Notice of Election. 

(d) Any amendment to the Notice of Election, including amendments 
to the election schedule, shall be set forth in an Amended Notice of Elec- 
tion, adopted at a noticed public meeting of the Board. 

(e) The Election Coordinator shall publish the Notice of Election be- 
fore each election, using methods designed to provide adequate notice to 
potential candidates and voters, including but not limited to: 

a. Posting the Notice of Election on the CalPERS website. 

b. Maihng the Notice of Election directly to eligible retired members. 

c. Providing employers with sufficient copies of the Notice of Election 
to allow widespread notice to employees. 

(f) Agency Election Officers shall provide notification to eligible ac- 
tive members by direct distribution of the Notice of Election to members 
or by posting the Notice of Election in employee work areas. 

NOTE: Authority cited: Section 20121, Government Code. Reference: Sections 
20090, 20095 and 20096, Government Code. 

History 

1. New section filed 7-2-82; effective thirtieth day thereafter (Register 82, No. 
27). 

2. Amendment of Note filed 8-24-98; operative 9-23-98 (Register 98, No. 35). 

3. Amendment of section and Note filed 6-26-2008; operative 7-26-2008 (Reg- 
ister 2008, No. 26). 

§ 554.3. Nomination of Candidates [Effective until 
1-16-2002\. 

Members shall qualify for nomination if they meet the eligibility crite- 
ria adopted in advance of each election and publicized by the Board in 
the Notice of Election. Nomination shall be by petition, addressed to the 
Board and signed by members eligible to vote in the election being con- 
ducted. The minimum number of petition signatures required shall be de- 
termined by the Board and specified in the Notice of Election. 

Only those petitions received in the Sacramento office of the System 
by the date specified in the Notice of Election shall be accepted. 

Each nominee shall certify that the nominee accepts the nomination, 
consents to serve if elected and agrees to abide by a drawing of lots by 
the Secretary of State in case of a tied vote. Nominees shall return this 
certification on the form provided by the System by the date specified in 
the Notice of Election to have their names placed on the ballot. 



NOTE: Authority cited: Section 20121, Government Code. Reference: Section 
20096, Government Code. 

History 

1. New section filed 7-2-82: effective thirtieth day thereafter (Register 82. No. 
27). 

2. Amendment of Note filed 8-24-98; operative 9-23-98 (Register 98, No. 35). 

3. Amendinent of first paragraph filed 11-30-2000 as an emergency; operafive 
11-30-2000 (Register 2000, No. 48). A Certificate of Compliance must be 
transmitted to OAL by 3-30-2001 or emergency language will be repealed by 
operation of law on the following day. 

4. Pursuant to the order of the Superior Court of California, Court of Sacramento, 
dated April 20. 2001, in Califoniia State Employees Association. Local WOO, 
SEIU, AFL-CIO. CLC v. Public Employees Retirement System, et al.. No. 
OOCSOl 662, the emergency amendment filed 1 1-30-2000 has been invalidated 
and is unenforceable until adopted in full compliance with the AdministraUve 
Procedure Act. Reinstatement ofsection as it existed prior to 11 -30-2000 emer- 
gency amendment (Register 2001, No. 22). 

5. Amendment of first paragraph adopted by CalPERS Board 3-21-2001; sub- 
mitted to OAL and filed 8-2-2001; operative 1-16-2002 (Register 2001, No. 
31). Text of version effective through January 15, 2002, retained for reference. 



§ 554.3. Nomination of Candidates [Effective 1-16-2002]. 

(a) A person qualifies for nomination if he or she meets the eligibility 
criteria set forth in Government Code section 20090, subdivision (g), for 
the Board member position that is the subject of the election. To qualify 
for candidacy, a nominee must complete the procedures for nominadon 
set forth in the Nofice of Election. An individual nominee may not be a 
candidate for more than one Board member posifion during any particu- 
lar election. 

(b) Nomination shall be by petition, on the Nomination Petition 
form(s) provided by the System, addressed to the Board and signed by 
the nominee. The Nomination Petition form shall include all information 
required by this secfion as provided in the Notice of Election or any 
Amended Notice of Election. The petition shall idendfy clearly the spe- 
cific Board member position for which the nominee seeks election. The 
petifion shall also set forth information required to validate the nomi- 
nee's eligibility, which shall include, the nominee's full name, last four 
(4) digits of the nominee's Social Security number, and employer or em- 
ployer at retirement. Tlie nominee shall also provide contact information, 
such as address, telephone number, fax number, and email address. 

(c) A member or refired member shall be eligible to sign a Nomination 
Petition if he or she meets the eligibility criteria set forth in Government 
Code section 20090, subdivision (g), for the Board member position that 
is the subject of the election. Members or retired members signing a 
Nomination Petition shall provide identifying information for the pur- 
pose of validating membership in the System, which shall include, the 
member's or retired member's full name, last four (4) digits of his or her 
Social Security number, and employer or employer at retirement. 

(d) The Nomination Petition Form shall be provided by the System as 
follows, pages 1 and 2 are reproduced below; subsequent identically for- 
matted pages will be provided by the System for signature lines num- 
bered 9 - 300: 



Page 46 



Register 2008, No. 26; 6-27-2008 



Title 2 



Public Employees' Retirement System Board 



§ 554.3 



CalPERS 

California Public Employees' Retirement System 
NOMINATION PETITION (election name> ELECTION 

IMPORTANT: THE NOMINATION PETITION, ENDORSED WITH AT LEAST 250 ORIGINAL SIGNATURES OF 
ELIGIBLE (active/retired) MEMBERS, MUST BE RECEIVED BY THE CALIFORNIA PUBLIC EMPLOYEES' 

RETIREMENT SYSTEM (CalPERS) AT THE ADDRESS BELOW NO LATER THAN (date) , 

5:00 P.M. FIRM . THE NOMINATION PETITION PROVIDES FIFTY (50) ADDITIONAL NAME/SIGNATURE LINES. 
ONLY NOMINATION PETITIONS SUPPLIED BY CalPERS WILL BE ACCEPTABLE. 

California Public Employees' Retirement System 

Attention: CalPERS Election Coordinator 

Lincoln Plaza - 400 Q Street, Room (room number) 

P.O. Box 942702 

Sacramento, CA 94229-2702 

Telephone: (91 6) 795-3952, local, or (800) 794-2297, toll free 

NOMINATION 

WE, THE UNDERSIGNED, (active and/or retired) MEMBERS OF THE CALIFORNIA PUBLIC EMPLOYEES' 

RETIREMENT SYSTEM, PLACE IN NOMINATION (nominee full name) A SA 

MEMBER TO THE BOARD OF ADMINISTRATION, CALIFORNIA PUBLIC EMPLOYEES' RETIREMENT SYSTEM. 
THE NOMINEE IS (employed by/retired from) (AGENCY) . 



• 



Nominee's Street Address 



xxx-xx -^ 

Last Four Digits of the Social Security Number* 



City 

( l 



State Zip Code 



Nominee's Daytime Telephone Number 



Signature of Nominee Consenting to Nomination 



Nominee's E-Mail Address 



(- 



-)- 



Nominee's Fax Number 



INFORMATION NEEDED FOR VERIFICATION OF SYSTEM MEMBERSHIP 



NAME * rrvpe/Prinn & SIGNATURE 

1. 

(Type/Print Name Clearly) 



LAST FOUR DIGITS OF THE 
SOCIAL SECURITY NUMBER* 



XXX XX 



(employed bv/retired from} 
^AGENCY NAME) 



(Agency Name) 



• 



(Signature) 



* NOTE: The last name and the last four digits of the social security number infomiation is being sought for the sole 
purpose of verifying CalPERS membership against the CalPERS database. Be advised that in some cases, the 
information provided may not be sufficient to verify CalPERS membership or may delay verification of eligible signers. 
In the event CalPERS membership cannot be verified, the signature will be deemed invalid and not counted. 



CalPERS-BRD-74B (01/08) 



Page 46.1 



Register 2008, No. 26; 6-27-2008 



§ 554.3 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



NOMINATION PETITION (election namel ELECTION, FOR:. 



NAME* (Type/Prints & SIGNATURE 

2. 

(Type/Print Name Clearly) 



LAST FOUR DIGITS OF THE 
SOCIAL SECURITY NUMBER* 



XXX - XX 



{employed by/retired from! 
(AGENCY NAME) 



(Agency Name) 



• 



(Signature) 



3. 



(Type/Print Name Clearly) 



XXX - XX 



(Agency Name) 



(Signature) 



(Type/Print Name Clearly) 



XXX -XX 



(Agency Name) 



(Signature) 



5. 



(Type/Print Name Clearly) 



XXX - XX 



(Agency Name) 



(Signature) 



• 



(Type/Print Name Clearly) 



XXX - XX - 



(Agency Name) 



(Signature) 



(Type/Print Name Clearly) 



XXX - XX - 



(Agency Name) 



(Signature) 



8. 



(Type/Print Name Clearly) 



XXX -XX 



(Agency Name) 



(Signature) 



* NOTE: The last name and the last four digits of the social security number information is being sought for the sole 
purpose of verifying CalPERS membership against the CalPERS database. Be advised that in some cases, the 
information provided may not be sufficient to verify CalPERS membership or may delay verification of eligible signers. 
In the event CalPERS membership cannot be verified, the signature will be deemed invalid and not counted. 



CalPERS-BRD-74B (01/08) 



Page 46.2 



Register 2008, No. 26; 6-27-2008 



Title 2 Public Employees' Retirement System Board § 554.3 

(e) The minimum number of petition signatures required for Candida- Designation form provided by the System, that he or she accepts the nom- 

cy shall be determined by the Board at a noticed public meeting and spe- ination, consents to serve if elected and agrees to abide by a drawing of 

cified in the Notice of Election. In setting the minimum number of peti- lots by the Secretary of State in case of a tied vote. If a nominee chooses 

lion signatures, the Board will consider the goals of ensuring candidates to submit a Ballot Designation, he or she shall include the proposed Bal- 

have a minimum level of support and providing members and retirees ac- lot Designation on the Nomination Acceptance/Ballot Designation form. 

cess to candidacy. In no event shall less than 250 valid original signatures The nominee shall return the Nomination Acceptance/Ballot Designa- 

be required. Only those petitions received in the Sacramento office of the tion form by the date and time specified in the Notice of Election to have 

System by the date and time specified in the Notice of Election shall be his or her name placed on the ballot, 
accepted. (g) The Nomination Acceptance/Ballot Designation Form shall be 

(0 Each nominee shall certify, on the Nomination Acceptance/Ballot provided by the System as follows: 



• 



Page 46.3 Register 2008, No. 26; 6-27-2008 



§ 554.3 BARCLAYS CALIFORNIA CODE OF REGULATIONS Title 2 



CalPERS 

NOMINATION ACCEPTANCE/BALLOT DESIGNATION FORM 

IMPORTANT: COMPLETE AND FILE THIS FORM NO LATER THAN 

^date> . 5:00 P.M. FIRM , (CERTIFIED MAIL IS RECOMMENDED) TO: 

California Public Employees' Retirement System 
ATTENTION: CalPERS Election Coordinator 
Lincoln Plaza West - 400 Q Street, Room ^roomnumberl 
P.O. Box 942702 
Sacramento, CA 94229-2702 

NOMINATION ACCEPTANCE/NON-ACCEPTANCE 

Please select either Item #1 or #2 below by marking the appropriate box. 

1 . LJ Upon CalPERS determination that I am a qualified candidate, I accept the nomination for 

election as a member of the Board of Admmistration to fill the position whose term will begin 
January 16, (year! , and expire on January 15, (year! . I consent to serve if elected and agree 
to abide by the result of a drawing of lots by the Secretary of State in case of a tied yote. I 
submit the following information: 

Name and proposed Ballot Designation as I wish it shown on the ballot: 

Name: 



(Please type or print) 



Proposed Ballot 
Designation: 



(See Califomia Code of Regulations, section 554.10, attached) 



Employer or Employer At 
Retirement: 

Job Classification or Job 
Classification at Retirement 



Total years of CalPERS-covered service in Califomia: 



2. EH I do not accept the nomination for the terms as set forth above. 

I understand that if I decide to withdraw my candidacy after submitting this certified form, if I checked 
box #1 above, I must notify the CalPERS Board Election Coordinator by phone at 
(916) 795-3952 and follow-up in writing at the address shown above withm ten (10) working days 
following the nomination acceptance deadline date in order to have my name removed fi-om dhe ballot 
and canddate statement information. 



•^ Turn this form over. Read and complete the CANDIDATE STATEMENT/ADDENDUM and 
CERTIFICATION section. 



CalPERS-BRD-195 (FRONT) (1/08) 

Page 46.4 Register 2008, No. 26; 6-27-2008 



Title 2 Public Employees' Retirement System Board § 554.3 



• 



• 



CANDIDATE STATEMENT/ADDENDUM 

I understand that the California Public Employees' Retirement System will distribute with the ballot for 
the election (and runoff election if one is held) a candidate statement and candidate statement addendum 
for candidates who prepare them. I understand that the statement(s) must be tmthful, and shall contain 
no obscene, vulgar, profane, Ubelous, or defamatory matter. The statement(s) shall not include any 
remarks or questions that are inherently misleading, including rhetorical remarks and questions that are 
inherently misleading. 

I understand that once filed, the statement(s) may not be changed or withdrawn except as provided in 
CalPERS regulations at Title 2 California Code of Regulations Section 554.4(d), (e) Candidate 
Statements . I further understand that if candidate statement arbitration is conducted, and if I participate 
in the candidate statement arbitration, then, as stated in regulation Section 554.4(d), (e)(6): 

• I will bear my own expenses in connection with the preparation and presentation of my case at the 
arbitration proceedings. 

• The fees and expenses of the arbitrator and all other expenses of the arbitration shall be home 
equally by each candidate participating in the arbitration. 



CERTIFICATION 

My signature below certifies my understanding of the information on this form regarding nomination 
acceptance/non-acceptance, withdrawing candidacy and the candidate statement. 
My signature below also certifies that I have completed the information on this form. 

SIGNATURE: 

ADDRESS: 



TELEPHONE 
NUMBER: ( ). 

DATE: 



CalPERS-BRD-195 (BACK) (1/08) 



Page 46.5 Register 2008, No. 26; 6-27-2008 



§ 554.4 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



(h) The amendmenls to this section adopted on March 21, 2001 shall 
become operative on January 16, 2002. The amendments to Section 
554.3 filed July 2, 1982, shall remain in effect until that time. 
NOTE: Authority cited: Section 2012], Government Code. Reference: Section 
20096, Government Code. 

History 

1. New section filed 7-2-82; effective thirtieth day thereafter (Register 82, No. 
27). 

2. Amendment of Note filed 8-24-98; operative 9-23-98 (Register 98, No. 35). 

3. Amendment of first paragraph filed 11-30-2000 as an emergency; operative 
11-30-2000 (Register 2000, No. 48). A Certificate of Compliance must be 
transmitted to OAL by 3-30-2001 or emergency language will be repealed by 
operation of law on the following day. 

4. Pursuant to the order of the Superior Court of California, Court of Sacramento, 
dated April 20, 2001, in California State Employees Association. Local 1000. 
SEIU, AFL-CIO, CLC v. Public Employees Retirement System, et al.. No. 
OOCSOl 662, the emergency amendment filed 1 1 -30-2000 has been invalidated 
and is unenforceable until adopted in full compliance with the Administrative 
Procedure Act. Reinstatement of section as it existed prior to 1 1-30-2000 emer- 
gency amendment (Register 2001, No. 22). 

5. Amendment of first paragraph adopted by CalPERS Board 3-21-2001; sub- 
nutted to OAL and filed 8-2-2001; operative 9-1-2001 (Register 2001, No. 
31). 

6. Amendment filed 6-26-2008; operative 7-26-2008 (Register 2008, No. 26). 



§ 554.4. Candidate Statements [Effective until 1-16-2002]. 

Each candidate for an elective Board member position may provide a 
statement including the candidate's name, the word "Incumbent" when 
the candidate is the incumbent in the position for which the election is be- 
ing held, job classification, employer (or employer at retirement), years 
of CalPERS-covered service, and a brief factual, biographical descrip- 
tion of no more than 150 words of the candidate's education and back- 
groiind, and a list of organizations to which the candidate belongs, and 
positions held in those organizations. Statements indicating the candi- 
date's opinion or positions on issues of general concern to the System's 
membership may be included, so long as they are clearly staled as the 
candidate's opinion or view. The statement must be truthful, and shall not 
include other information. The statements must not include any remarks 
or questions that are inherently misleading, including rhetorical remarks 
and questions that are inherently misleading. 

The statement shall be filed with the Election Coordinator at the time 
the candidate accepts nomination. Once filed, statements may not be 
changed or withdrawn except by the Election Coordinator. The Election 
Coordinator shall reject or edit any statement which contains obscene, 
vulgar, profane, scandalous, untrue, libelous or defamatory matter or 
which does not meet the statement limitations stated above. The Election 
Coordinator may request the candidate to verify the truthfulness of any 
factual statements. The candidate shall provide timely verification upon 
such request. The Election Coordinator shall remove from the ballot the 
name of any candidate who fails to respond to such a verification request. 
Nothing in this section shall be deemed to make candidate statements or 
the authors thereof free or exempt from any civil or criminal action or 
penalty because of any false, slanderous or libelous statements offered 
for printing or distributed to voters. Information contained in the state- 
ment is the responsibility of the candidate and the Public Employees' Re- 
tirement System accepts no responsibility for the vahdity of the statement 
or the contents thereof. 

NOTE: Authority cited: Section 20121, Government Code. Reference: Section 
20096, Government Code. 

History 

1. New section filed 7-2-82; effective thirtieth day thereafter (Register 82, No. 
27). 

2. Amendment filed 8-9-94; operative 9-8-94 (Register 94, No. 32). 

3. Change without regulatory ei'fect amending first paragraph filed 6-12-96 pur- 
suant to section 100, title 1, California Code of Regulations (Register 96, No. 
24). 

4. Amendment of first paragraph and Note filed 8-24-98; operative 9-23-98 
(Register 98, No. 35). 

5. Amendment filed 1 1-30-2000 as an emergency; operative 1 1-30-2000 (Regis- 
ter 2000, No. 48). A Certificate of Compliance must be transmitted to OAL by 
3-30-2001 or emergency language will be repealed by operation of law on the 
following day. 



6. Change without regulatory effect correcting subsections (a) and (b) of 
1 1-30-2000 emergency action filed 12-18-2000 pursuant to secfion 100, title 
1, California Code'of Regulations (Register 2000, No. 51). 

7. Pursuant to the order of the Superior Court of California, Court of Sacramento, 
dated April 20, 2001. in California State Employees Association. Local 1000, 
SEIU. AFL-CIO. CLC v. Public Employees Retirement System, et al. No. 
OOCSOl 662, the emergency amendment filed 1 1-30-2000 has been invalidated 
and is unenforceable until adopted in full compliance with the Administrative 
Procedure Act. Reinstatement of section as it existed prior to 1 1 -30-2000 emer- 
gency amendment (Register 2001, No. 22). 

8. Amendments adopted by CalPERS Board 3-21-2001; submitted to OAL and 
filed 8-2-2001 ; operative 1-16-2002 (Register 2001 , No. 31). Text of version 
effective through January 75, 2002, retained for reference. 

§ 554.4. Candidate Statements [Effective 1-16-2002\. 

(a) Each candidate for an elective Board member position may provide 
a statement including the candidate's name, the word "Incumbent" when 
the candidate is the incumbent in the position for which the election is be- 
ing held, job classification, employer (or employer at retirement), years 
of CalPERS-covered service, and a general statement of no more than 
200 words. The statement must be truthful, and shall contain no obscene, 
vulgar, profane, libelous or defamatory matter. The statement shall not 
include any remarks or questions that are inherently misleading, includ- 
ing rhetorical remarks and questions that are inherently misleading. 

(b) The statement shall be filed with the Election Coordinator at the 
time the candidate accepts nomination. Once filed, statements may not 
be changed or withdrawn except as provided herein. 

(c) Within 7 calendar days following the end of the nomination period, 
the Election Coordinator shall distribute all candidate statements to each 
candidate in the respective contest. Each candidate shall have 10 calendar 
days (or such longer period as the Election Coordinator may provide to 
all candidates) after the distribution of the candidate statements by the 
Election Coordinator to submit to the Election Coordinator an addendum 
to the candidate's statement of no more than 100 words. No addenda may 
change the initial candidate statement, but addenda, if any, shall be in 
addition to the initial candidate statement. The Election Coordinator 
shall, within 7 calendar days after the date in which all addenda are due, 
provide all candidates with all candidate statements including addenda 
if any. 

(d) No statement may be changed or withdrawn, except that: 

( 1 ) a candidate who withdraws from the election may withdraw his/her 
statement at any time prior to printing, or, 

(2) a candidate statement may be modified in accordance with a deter- 
mination of an arbitration conducted in accordance with subdivision (e) 
below. 

(e) Any controversy or claim arising out of or relating to a proposed 
candidate's statement's compliance with the provisions of this section 
shall be determined by a third-party arbitrator conducting arbitration in 
accordance with the laws of the State of California and as provided be- 
low, and the Labor Arbitration rules of the American Arbitration 
Association (AAA) in effect on November 15, 2000, to the extent the 
AAA rules are not in conflict with this subdivision. 

(1) A written request for arbitration related to any candidate's state- 
ment must be filed with CalPERS Election Coordinator by a candidate 
not later than 5 working days after the Election Coordinator's mailing of 
candidate statements pursuant to subdivision (c) above. Upon the Elec- 
tion Coordinator's receipt of a request for arbitration, the Board or its 
delegate shall designate an independent, neutral third-party arbitrator to 
administer the arbitration. No board member who is a candidate for elec- 
tion that is the subject of the arbitration may participate in the selection 
of the arbitrator except as specified in subdivisions (2-6) below. 

(2) A request for arbitration shall set forth the nature of the controversy 
or claim, a brief statement of the basis of the controversy or claim, and 
the remedy sought. 

(3) Upon receipt of a request for arbitration under this section, the 
Election Coordinator shall mail a copy of the request to all candidates for 
the same seat and to the third-party arbitrator. Within seven days of mail- 
ing the request for arbitration by the Election Coordinator, any candidate 
for the seat that is the subject of the arbitration may request to participate 



Page 46.6 



Register 2008, No. 26; 6-27-2008 



Title 2 



Public Employees' Retirement System Board 



§ 554.6 



in the arbitration by filing a written request with the Election Coordina- 
tor, which the Coordinator shall promptly forward to the third party arbi- 
trator. 

(4) The third-party arbitrator shall promptly submit simultaneously to 
each party requesting to participate an identical list of names of three per- 
sons chosen from its panel of arbitrators. Each party shall have seven 
days from the date the list is submitted in which to file an objection with 
the third-party arbitrator to any name, number the remaining names to 
indicate order of preference, and return the list to the third-party arbitra- 
tor. From among the persons for whom no objection has been filed, and 
in accordance with the designated order of preference, the third-party ar- 
bitrator shall invite an arbitrator to serve. If every proposed arbitrator re- 
ceives an objection, or if the arbitrator selected declines or is unable to 
act, or if for any other reason the appointment cannot be made from the 
submitted hsts, the third-party arbitrator shall make the appointment 
from among other members of the arbitrator's panel without the submis- 
sion of any additional list. 

(5) Any arbitration shall be held in the City of Sacramento. Any candi- 
date for the same office may participate in the arbitration by filing notice 
with CalPERS. The determination of the arbitrator shall be rendered 
within 30 days of selection of an arbitrator and shall be final and binding 
on CalPERS and candidates for office. 

(6) Each candidate participating in the arbitration shall bear its own ex- 
penses in connection with the preparation and presentation of his or her 
case at the arbitration proceedings. The fees and expenses of the arbitra- 
tor and all other expenses of the arbitration shall be borne equally by each 
candidate participating in the arbitration. 

(f) The Election Coordinator shall distribute all deadUnes and instruc- 
tions related to candidate statements in writing to all candidates. 

(g) Nothing in this section shall be deemed to make candidate state- 
ments or the authors thereof free or exempt from any civil or criminal ac- 
tion or penalty because of any statements offered for printing or distrib- 
uted to voters. Information contained in the statement is the 
responsibility of the candidate and the California Public Employees' Re- 
tirement System accepts no responsibility for the validity of the statement 
or the contents thereof. 

The amendments to this section adopted on March 21, 2001 shall be- 
come operative on January 16, 2002. The amendments to Section 554.4 
filed August 24, 1998 shall remain in effect until that time. 
NOTE: Authority cited: Section 20121, Government Code. Reference: Section 
20096, Government Code. 

History 

1. New section filed 7-2-82; effective thirtieth day thereafter (Register 82, No. 
27). 

2. Amendment filed 8-9-94; operative 9-8-94 (Register 94, No. 32). 

3. Change without regulatory effect amending first paragraph filed 6-12-96 pur- 
suant to section 100, title 1, California Code of Regulations (Register 96, No. 
24). 

4. Amendment of fu-st paragraph and Note filed 8-24-98; operative 9-23-98 
(Register 98, No. 35). 

5. Amendment filed 1 1-30-2000 as an emergency; operative 1 1-30-2000 (Regis- 
ter 2000, No. 48). A Certificate of Compliance must be transmitted to OAL by 
3-30-2001 or emergency language will be repealed by operation of law on the 
following day. 

6. Change without regulatory effect correcting subsections (a) and (b) of 
1 1-30-2000 emergency action filed 12-18-2000 pursuant to section 100, title 
1 , California Code of Regulations (Register 2000, No. 5 1). 

7. Pursuant to the order of the Superior Court of California, Court of Sacramento, 
dated April 20, 2001, in California State Employees Association, Local 1000, 
SEIU, AFL-CIO, CLC v. Public Employees Retirement System, et al, No. 
OOCSOl 662, the emergency amendment filed 1 1-30-2000 has been invalidated 
and is unenforceable until adopted in full compliance with the Administrative 
ProcedureAct. Reinstatement of section as it existed prior to 11 -30-2000 emer- 
gency amendment (Register 2001, No. 22). 

8. Amendments adopted by CalPERS Board 3-21-2001; submitted to OAL and 
filed 8-2-2001; operafive 1-16-2002 (Register 2001, No. 31). 

§ 554.5. Ballot Distribution. 

(a) Except as provided in paragraph (b), below, the Election Coordina- 
tor shall cause ballots, candidate statements and postage paid return en- 
velopes to be mailed by the System directly to the residence of each re- 
tired member, and to each eligible active member for whom the Board 



has a residence address and is permitted by law to use such address to 
mail these election materials. For those eligible active members for 
whom the Board does not have access to a legally permissible residence 
address, the Election Coordinator shall forward their ballots, candidate 
statements, and postage paid return envelopes to the Agency Election Of- 
ficer with instructions to ensure that these materials are immediately pro- 
vided to the identified member(s). For purposes of this section, "eligible 
active member" means a member of the System who is employed, on the 
date specified in the Notice of Election's criteria for voter eligibility, by 
an employer participating in the System. 

Marked ballots shall be returned to the location designated by PERS 
in the postage paid return envelope provided by the System, or another 
comparable envelope, and the reverse side shall be signed by the voter 
certifying under penalty of perjury that the voter is eligible to vote in the 
election; otherwise the ballot shall not be valid. 

(b) Where only one candidate has been nominated in accordance with 
section 554.3, the Election Coordinator shall, upon verification of the 
signatures presented in the nominating petition and upon the candidate's 
certification of his/her nomination acceptance, cancel the remaining 
election procedures and designate the single candidate to be certified as 
elected by the Secretary of State. Upon the Secretary of State's certifica- 
tion, the Board member elected through this process shall take his/her of- 
fice on the day provided for by statute. 

NOTE: Authority cited: Sections 20096 and 20121 , Government Code. Reference: 
Section 20096, Government Code. 

History 

1. New section filed 7-2-82; effective thirtieth day thereafter (Register 82, No. 
27). 

2. Amendment filed 7-9-84; effective thirtieth day thereafter (Register 84, No. 
28). 

3. Amendment filed 8-9-94; operative 9-8-94 (Register 94, No. 32). 

4. Amendment of newly designated subsection (a) and new subsection (b) filed 
7-17-95 as an emergency; operative 7-17-95 (Register 95, No. 29). A Certifi- 
cate of Compliance must be transmitted to OAL by 1 1-14-95 or emergency lan- 
guage will be repealed by operation of law on the following day. 

5. Certificate of Compliance as to 7-17-95 order including amendment of Note 
transmitted to OAL 10-27-95 and filed 12-1-95 (Register 95, No. 48). 

6. Amendment of Note filed 8-24-98; operafive 9-23-98 (Register 98, No. 35). 

§ 554.6. Ballot Counting [Effective until 1-16-2002\. 

Signed ballot envelopes shall not be opened until the deadline for final 
receipt of valid ballots. On the date specified in the Notice of Election at 
the location designated by PERS, the sealed signed envelopes containing 
the valid ballots shall be opened and canvassed publicly by the System. 
The candidate having the highest number of votes, or the winning lot as 
drawn by the Secretary of State in case of a fie vote, or the single candi- 
date as provided in secfion 554.5(b), shall be certified by the Secretary 
of State as having been elected. 

NOTE: Authority cited: Section 20121, Government Code. Reference: Section 
20096, Government Code. 

History 

1. New section filed 7-2-82; effective thirtieth day thereafter (Register 82, No. 
27). 

2. Amendment filed 7-9-84: effective thirtieth day thereafter (Register 84, No. 
28). 

3. Amendment filed 8-9-94; operative 9-8-94 (Register 94, No. 32). 

4. Amendment filed 7-17-95 as an emergency; operative 7-17-95 (Register 95, 
No. 29). A Certificate of Compliance must be transmitted to OAL by 1 1-14-95 
or emergency language will be repealed by operation of law on the following 
day. 

5. Certificate of Compliance as to 7-17-95 order transmitted to OAL 10-27-95 
and filed 12-1-95 (Register 95, No. 48). 

6. Amendment of Note filed 8-24-98; operative 9-23-98 (Register 98, No. 35). 

7. Amendment of section heading and section filed 1 1-30-2000 as an emergency; 
operative 11-30-2000 (Register 2000, No. 48). A Certificate of Compliance 
must be transmitted to OAL by 3-30-2001 or emergency language will be re- 
pealed by operation of law on the following day. 

8. Change without regulatory effect cortccting subsecfion (a) of 11-30-2000 
emergency action filed 12-18-2000 pursuant to section 100, title 1, California 
Code of Regulations (Register 2000, No. 51). 

9. Pursuant to the order of the Superior Court of California, Court of Sacramento, 
dated April 20, 2001, in California State Employees Association, Local 1000, 
SEIU, AFL-CIO, CLC v. Public Employees Retirement System, et al. No. 
OOCSOl 662, the emergency amendment filed 1 1-30-2000 has been invahdated 
and is unenforceable until adopted in full compliance with the Administrative 



Page 46.7 



Register 2008, No. 26; 6-27-2008 



§ 554.6 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



Procedure Act. Reinstatement of section as it existed priorto 1 1-30-2000 emer- 
gency amendment (Register 2001, No. 22). 

10. Amendment of section heading, section and Note adopted by CalPERS Board 
3-21-2001 ; submitted to OAL and filed 8-2-2001 ; operative 1-16-2002 (Reg- 
ister 2001 , No. 3 1 ). Text of version effective tlirougii Jamiary 15, 2002, retained 
for reference. 

§ 554.6. Ballot Counting and Runoff Election [Effective 
1-16-2002\. 

(a) Signed ballot envelopes shall not be opened until the deadline for 
final receipt of valid ballots. On the date specified in the Notice of Elec- 
tion at the location designated by CalPERS, the sealed signed envelopes 
containing the valid ballots shall be opened and canvassed publicly by an 
independent, neutral agent appointed by CalPERS for the purpose. The 
candidate having a majority of votes, or the winning lot as drawn by the 
Secretary of State in case of a tie vote, or the single candidate as provided 
in section 554.5(b), shall be certified by the Secretary of State as having 
been elected. 

(b) Where the Board members elected under Government Code sec- 
tion 20090, subdivision (g)(1) are elected in the same election, the two 
positions shall be separately designated Position A and Position B. The 
position held by Charles Valdes on November 15, 2000 shall thereafter 
be designated Position A. The position held by William B. Rosenberg on 
November 15, 2000 shall thereafter be designated Position B. 

(c) The candidate receiving the majority vote for each position shall 
be certified by the Secretary of State as having been elected. In the event 
that no candidate for any position receives a majority of votes (i.e., 50% 
of votes cast plus one vote), a runoff election will be conducted involving 
the two candidates who received the highest number of votes. 

(d) The amendments to this section adopted on March 21, 2001 shall 

become operative on January 16, 2002. The amendments to this section 

filed December 1 , 1995 shall remain in effect until that time. 

NOTE: Authority cited: Section 20121, Government Code. Reference: Sections 
20090 and 20096, Government Code. 

History 

1. New section filed 7-2-82; effective thirtieth day thereafter (Register 82, No. 
27). 

2. Amendment filed 7-9-84; effective thirtieth day thereafter (Register 84, No. 
28). 

3. Amendment filed 8-9-94; operative 9-8-94 (Register 94, No. 32). 

4. Amendment filed 7-17-95 as an emergency; operative 7-17-95 (Register 95, 
No. 29). A Certificate of Compliance must be transmitted to OAL by 1 1-14-95 
or emergency language will be repealed by operation of law on the following 
day. 

5. Certificate of Compliance as to 7-17-95 order transmitted to OAL 10-27-95 
and filed 12-1-95 (Register 95, No. 48). 

6. Amendment of NOTE filed 8-24-98; operadve 9-23-98 (Register 98, No. 35). 

7. Amendment of section heading and section filed 1 1-30-2000 as an emergency; 
operative 1 1-30-2000 (Register 2000, No. 48). A Certificate of Compliance 
must be transmitted to OAL by 3-30-2001 or emergency language will be re- 
pealed by operation of law on the following day. 

8. Change without regulatory effect correcting subsecfion (a) of 11-30-2000 
emergency action filed 12-18-2000 pursuant to section 100, title 1, California 
Code of Regulations (Register 2000, No. 51). 

9. Pursuant to the order of the Superior Court of California, Court of Sacramento, 
dated April 20, 2001, in California State Employees Association, Local 1000, 
SEIU, AFL-CIO, CLC v. Public Employees Retirement System, et ai. No. 
OOCSOl 662, the emergency amendment filed 1 1-30-2000 has been invalidated 
and is unenforceable until adopted in full compliance with the Administrafive 
Procedure Act. Reinstatement of section as it existed priorto 1 1-30-2000 emer- 
gency amendment (Register 2001, No. 22). 

10. Amendment of secfion heading, secUon and Note adopted by CalPERS Board 
3-21-2001; submitted to OAL and filed 8-2-2001; operative 1-16-2002 (Reg- 
ister 2001, No. 31). 

11. Change without regulatory effect designating last two paragraphs as subsec- 
fions (c) and (d) filed 7-11-2002 pursuant to section 100, title 1, California 
Code of Regulations (Register 2002, No. 28). 

§ 554.7. Notice of Election Results [Effective until 
1-16-2002]. 

(a) Within three working days after the public ballot canvassing, or af- 
ter verification of the nominating signatures and certification of nomina- 
tion acceptance as provided in section 554.5(b), the Election Coordinator 
shall post the unofficial election results and transmit these unofficial re- 
sults to each candidate, utilizing express mail services. 



(b) Following certification by the Secretary of State, the Election 
Coordinator shall notify the Executive Officer, candidates, Board mem- 
bers, staff and other interested parties of the official, certified results. No- 
tification to the newly elected Board member shall include an Oath of Of- 
fice form. This form is to be signed by the member in the presence of a 
notary public and returned to the System. The Election Coordinator shall 
file the Oath with the Secretary of State. 

(c) Election results shall be publicized to agencies and members in a 
manner prescribed by the Board. 

NOTE: Authority cited: Section 20121, Government Code. Reference: Section 
20096, Government Code. 

History 

1. New section filed 7-2-82; effecfive thirtieth day thereafter (Register 82, No. 
27). 

2. Amendment filed 7-9-84; effecfive thirtieth day thereafter (Register 84, No. 
28). 

3. New subsecfion (a), designafion and amendment of subsecfion (b), and designa- 
tion of subsection (c) filed 8-9-94; operafive 9-8-94 (Register 94, No. 32). 

4. Amendment of subsection (a) filed 7-17-95 as an emergency; operative 
7-17-95 (Register 95, No. 29). A Certificate of Compliance must be trans- 
mitted to OAL by 1 1-14-95 or emergency language will be repealed by opera- 
don of law on the following day. 

5. Certificate of CompUance as to 7-17-95 order includine amendment of subsec- 
fion (b) transmitted to OAL 10-27-95 and filed 12-1-915 (Register 95, No. 48). 

6. Amendment of Note filed 8-24-98; operafive 9-23-98 (Register 98, No. 35). 

7. Amendment of subsection (a) filed 1 1-30-2000 as an emergency; operafive 
11-30-2000 (Register 2000, No. 48). A Certificate of Com'pliance must be 
transmitted to OAL by 3-30-2001 or emergency language will be repealed by 
operafion of law on the following day. 

8. Change without regulatory effect correcting subsection (a) of 11-30-2000 
emergency acfion filed 12-18-2000 pursuant to secfion 100, fitle 1, California 
Code of Regulafions (Register 2000, No. 51). 

9. Pursuant to the order of the Superior Court of California, Court of Sacramento, 
dated April 20, 2001 , in California State Employees Association, Local 1000, 
SEIU, AFL-CIO, CLC v. Public Employees Retirement System, et ai. No. 
00CS01662, the emergency amendment filed 1 1-30-2000 has been invalidated 
and is unenforceable until adopted in full compliance with the Administrative 
Procedure Act. Reinstatement of section as it existed prior to 1 1-30-2000 emer- 
gency amendment (Register 2001, No. 22). 

10. Amendment of subsecfion (a) adopted by CalPERS Board 3-21-2001; sub- 
mitted to OAL and filed 8-2-2001; operafive 1-16-2002 (Register 2001, No. 
31). Text of version effective through January 15, 2002, retained for reference. 

§ 554.7. Notice of Election Results [Effective 1-16-2002\. 

(a) Within three working days after the public ballot canvassing of the 
election and runoff elecfion, if any, or after verification of the nominating 
signatures and certificafion of nominafion acceptance as provided in sec- 
tion 554.5(b), the Election Coordinator shall post the unofficial election 
results and transmit these unofficial results to each candidate, utilizing 
express mail services. 

(b) Following certification by the Secretary of State, the Election 
Coordinator shall notify the Executive Officer, candidates, Board mem- 
bers, staff and other interested parties of the official, certified results. No- 
tification to the newly elected Board member shall include an Oath of Of- 
fice form. This form is to be signed by the member in the presence of a 
notary public and returned to the System. The Election Coordinator shall 
file the Oath with the Secretary of State. 

(c) Elecfion results shall be publicized to agencies and members in a 
manner prescribed by the Board. 

The amendments to this secfion adopted on March 21, 2001 shall be- 
come operafive on January 16, 2002. The amendments to this secfion 
filed July 17, 1995 shall remain in effect unfil that fime. 
NOTE: Authority cited: Section 20121, Government Code. Reference: Section 
20096, Government Code. 

History 

1. New section filed 7-2-82; effecfive thirtieth day thereafter (Register 82, No. 
27). 

2. Amendment filed 7-9-84; effecfive thirtieth day thereafter (Register 84, No. 
28). 

3. New subsecfion (a), designation and amendment of subsection (b), and designa- 
fion of subsection (c) filed 8-9-94; operafive 9-8-94 (Register 94, No. 32). 

4. Amendment of subsection (a) filed 7-17-95 as an emergency; operafive 
7-17-95 (Register 95, No. 29). A Certificate of CompHance must be trans- 
mitted to OAL by 1 1-14-95 or emergency language will be repealed by opera- 
tion of law on the following day. 



Page 46.8 



Register 2008, No. 26; 6-27-2008 



Title 2 



Public Employees' Retirement System Board 



§ 554.8 



5. Certificate of Compliance as to 7-17-95 order includins amendment of subsec- 
tion (b) transmitted to OAL 10-27-95 and filed 12-1-95 (Register 95, No. 48). 

6. Amendment of Note filed 8-24-98; operative 9-23-98 (Register 98, No. 35). 

7. Amendment of subsection (a) filed 1 1-30-2000 as an emergency; operative 
11-30-2000 (Register 2000. No. 48). A Certificate of Compliance must be 
transmitted to OAL by 3-30-2001 or emergency language will be repealed by 
operation of law on the following day. 

8. Change without regulatory effect correcting subsection (a) of 1 1-30-2000 
emergency action filed 12-1 8-2000 pursuant to section 100, title 1 , California 
Code of Regulations (Register 2000, No. 51). 

9. Pursuant to the order of the Superior Court of California, Court of Sacramento, 
dated April 20, 2001, in Califoniia State Employees Association. Local 1000. 
SEW, AEL-CIO. CLC v. Public Employees Retirement System, et ai. No. 
00CS01 662, the emergency amendment filed 1 1-30-2000 has been invalidated 
and is unenforceable until adopted in full compliance with the Administrative 
Procedure Act. Reinstatement of section as itexisted prior to 1 1-30-2000 emer- 
gency amendment (Register 2001, No. 22). 

10. Amendment of subsection (a) adopted by CalPERS Board 3-21-2001 ; sub- 
mitted to OAL and filed 8-2-2001; operafive 1-16-2002 (Register 2001, No. 
31). 



§ 554.8. Recount of an Election [Effective until 1-16-2002\. 

(a) A request for a recount shall not delay the seating of an elected 
Board member. Such elected Board member shall take office, in accor- 
dance with the published election schedule, subject to the potential termi- 
nation of such Board membership as a result of the recount. 

(b) A candidate in the affected Board member election may file a writ- 
ten request with the Election Coordinator at the Sacramento Office of 
PERS for recount within ten working days following the mailing of the 
unofficial election results; otherwise, there shall be no opportunity for re- 
questing a recount and the certified election results stand as the official 
results. 

(c) A written request for a recount shall specify the election to be re- 
counted, shall be signed by the candidate requesfing the recount, and may 
specify any other relevant material to be examined. 

(d) The Elecfion Coordinator shall set a date for the recount upon re- 
ceipt of the written request, and shall confirm this date upon receipt of the 
esUmated cost to conduct the recount. The estimated cost of conducting 
a recount will include the system's administrative cost and the costs of 
the ballot counting contractor, if applicable. Legal tender of the amount 
of the estimated cost of conducting the recount shall be submitted by the 
candidate requesting the recount to the Election Coordinator within three 
working days following notification of the estimated cost to conduct the 
recount; otherwise, the recount shall be termined. 

(e) If the results of the recount do not change the ranking of the candi- 
dates (either the unofficial ranking or the certified ranking, depending 
upon whether the unofficial results have been certified by the Secretary 
of State as of the date of the recount), then the unofficial results shall, 
upon receipt of Secretary of State certification, stand as the official elec- 
fion results. In this case, if the actual cost of the recount is less than the 
esumated cost deposited by the requester, PERS shall refund the amount 
which exceeds the actual cost; if the actual cost of the recount is more 
than the estimated cost, PERS shall invoice the requester for the differ- 
ence. 

(f) If the results of the recount do change the ranking of the candidates 
(either the unofficial ranking or the certified ranking, depending upon 
whether the unofficial results have been certified by the Secretary of 
State as of the date of the recount), then the recount results shall be resub- 
mitted to the Secretary of State for certificafion as the official election re- 
sults. In this case, PERS shall refund the amount of the estimated cost de- 
posited by the requester. 

NOTE: Authority cited: Section 20121, Government Code. Reference: Section 
20096, Government Code. 

History 

1. New section filed 8-9-94; operative 9-8-94 (Register 94, No. 32). 

2. Change without regulatory effect amending subsection (f) filed 6-12-96 pur- 
suant to section 100, title 1, California Code of Regulations (Register 96, No. 
24). 

3. Amendment of Note filed 8-24-98; operative 9-23-98 (Register 98, No. 35). 

4. Amendment of subsections (b), (e) and (f) filed 1 1-30-2000 as an emergency; 
operative 11-30-2000 (Register 2000, No. 48). A Certificate of Compliance 



must be transmitted to OAL by 3-30-2001 or emergency language will be re- 
pealed by operation of law on the following day. 

5. Change without regulatory effect correcting subsecrion (b) of 11-30-2000 
emergency action filed 12-18-2000 pursuant to section 100, title 1. California 
Code'of Regulations (Register 2000, No. 51). 

6. Pursuant to the order of the Superior Court of California, Court of Sacramento, 
dated April 20, 2001, in California State Employees Association. Local 1000, 
SEIU. AFL-CIO, CLC v. Public Employees Retirement System, et ai. No. 
00CS01662, the emergency amendment filed 1 1-30-2000 has been invalidated 
and is unenforceable until adopted in full compliance with the Administrative 
Procedure Act. Reinstatement ofsection as it existed prior to 1 1-30-2000 emer- 
gency amendment (Register 2001, No. 22). 

7. Amendment of subsections (b), (e) and (f) adopted by CalPERS Board 
3-2 1 -200 1 ; submitted to OAL and filed 8-2-200 1 ; operative 1 - 1 6-2002 (Reg- 
ister 2001, No. 31 ). Text of version effective through Januaiy 15, 2002, retained 
for reference. 

§ 554.8. Recount of an Election [Effective 1-16-2002\. 

(a) A request for a recount shall not delay the seating of an elected 
Board member. Such elected Board member shall take office, in accor- 
dance with the published elecfion schedule, subject to the potenfial termi- 
nation of such Board membership as a result of the recount. 

(b) A candidate in the affected Board member elecfion may file a writ- 
ten request with the Election Coordinator at the Sacramento Office of 
CalPERS for recount within ten working days following the mailing of 
the unofficial elecfion results of the runoff elecfion, if any, otherwise, of 
the election; otherwise, there shall be no opportunity for requesting a re- 
count and the certified election results stand as the official results. 

(c) A written request for a recount shall specify the election to be re- 
counted, shall be signed by the candidate requesting the recount, and may 
specify any other relevant material to be examined. 

(d) The Election Coordinator shall set a date for the recount upon re- 
ceipt of the written request, and shall confirm this date upon receipt of the 
estimated cost to conduct the recount. The estimated cost of conducting 
a recount will include the system's administrative cost and the costs of 
the ballot counting contractor, if applicable. Legal tender of the amount 
of the estimated cost of conducting the recount shall be submitted by the 
candidate requesting the recount to the Election Coordinator within three 
working days following notification of the estimated cost to conduct the 
recount; otherwise, the recount shall be termined. 

(e) If the results of the recount do not change the ranking of the candi- 
dates (either the unofficial ranking or the certified ranking, depending 
upon whether the unofficial results have been certified by the Secretary 
of State as of the date of the recount), then the unofficial results shall, 
upon receipt of Secretary of State certification, stand as the official elec- 
tion results. In this case, if the actual cost of the recount is less than the 
estimated cost deposited by the requester, CalPERS shall refund the 
amount which exceeds the actual cost; if the actual cost of the recount is 
more than the estimated cost, CalPERS shall invoice the requester for the 
difference. 

(f) If the results of the recount do change the ranking of the candidates 
(either the unofficial ranking or the certified ranking, depending upon 
whether the unofficial results have been certified by the Secretary of 
State as of the date of the recount), then the recount results shall be resub- 
mitted to the Secretary of State for certification as the official election re- 
sults. In this case, CalPERS shall refund the amount of the estimated cost 
deposited by the requester. 

The amendments to this section adopted on March 21 , 2001 shall be- 
come operative on January 16, 2002. The amendments to this section 
filed August 24, 1998 shall remain in effect until that time. 
NOTE: Authority cited: Section 20121, Government Code. Reference: Section 
20096, Government Code. 

History 

1. New section filed 8-9-94; operative 9-8-94 (Register 94, No. 32). 

2. Change without regulatory effect amending subsection (f) filed 6-12-96 pur- 
suant to secfion 100, title 1, California Code of Regulations (Register 96, No. 
24). 

3. Amendment of Note filed 8-24-98; operative 9-23-98 (Register 98, No. 35). 

4. Amendment of subsecnons (b), (e) and (f) filed 1 1-30-2000 as an emergency; 
operative 1 1-30-2000 (Register 2000, No. 48). A Certificate of Compliance 
must be transmitted to OAL by 3-30-2001 or emergency language will be re- 
pealed by operation of law on the following day. 



Page 46.9 



Register 2008, No. 26; 6-27-2008 



§ 554.9 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



5. Change without regulatory effect coixecting subsection (b) of 11-30-2000 
emergency action filed 12-18-2000 pursuant to section 100, title 1, California 
Code of Regulations (Register 2000, No. 51). 

6. Pursuant to the order of the Superior Court of California, Court of Sacramento, 
dated April 20, 2001, in California Stale Eniplovecs Association, Local 1000, 
SEW, AFL-CIO. CLC v. Public Employees Retirement System, et al.. No. 
00CS01662, the emergency amendment filed 1 1-30-2000 has been invalidated 
and is unenforceable until adopted in full compliance with the Administrative 
Procedure Act. Reinstatement of section as it existed priorto 1 1 -30-2000 emer- 
gency amendment (Register 2001, No. 22). 

7. Amendment of subsections (b), (e) and (0 adopted by CalPERS Board 
3-2 1 -200 1 ; submitted to OAL and filed 8-2-2001 ; operative 1 -1 6-2002 (Reg- 
ister 2001, No. 31). 

§ 554.9. Protest of an Election. 

(a) The filing of a protest shall not delay the seating of an elected Board 
member. Such elected Board member shall take office, in accordance 
with the published election schedule, subject to the potential termination 
of such Board membership as a result of the protest. Any newly elected 
member, as the result of a protest, shall hold office for a period equal to 
the remainder of the term of the vacated office. 

(b) Any party who is an active or retired member of CalPERS, eligible 
to vote in the apphcable Board member election, may protest a runoff 
election, if any, or an election, if no runoff election is conducted. A pro- 
test shall be filed with the Election Coordinator at the Sacramento Office 
of CalPERS within ten working days following the mailing of the certi- 
fied election results. A protest shall be in writing, shall be identified using 
the word "protest", shall specify the election, and shall state the grounds 
of the protest and suggested remedy. 

(c) Upon receipt of a valid and timely protest, the Election Coordinator 
shall mail a copy of the request to all candidates for the same seat. The 
Board or its designee shall appoint an independent, neutral agent which 
shall designate a Protest Panel using the following process. The indepen- 
dent agent shall promptly submit simultaneously to each candidate for 
the same office that is subject of the protest an identical list of names of 
at least five persons chosen from its panel of arbitrators. Each candidate 
shall have seven days from the date the list is submitted in which to file 
an objection with the agent to any name, number the remaining names to 
indicate order of preference, and return the list to the agent. From among 
the persons for whom no objection has been filed, and in accordance with 
the designated order of preference, the agent shall invite members to 
serve on the Protest Panel. If every proposed panel member receives an 
objection, or if a panel member selected declines or is unable to act, or 
if any other reason the appointment cannot be made from the submitted 
list, the agent shall make the appointment from among other members of 
the agent's panel of arbitrators without the submission of any additional 
list. No Board member who is a candidate for election that is the subject 
of the protest may participate in the selection of the Protest Panel. The 
decision of the Protest Panel shall be final. The Protest Panel shall be 
comprised of no less than three people, all of whom are neither employed 
by CalPERS nor otherwise interested in the outcome of the election that 
is the subject of the protest. For purpose of the foregoing sentence only, 
membership in CalPERS does not, by itself, constitute an "interest in the 
outcome of the election." The Protest Panel shall consider written and/or 
oral arguments submitted by the protestor and any other interested party, 
including the Board's staff Any oral proceedings shall be held in the City 
of Sacramento. The determination of the Protest Panel shall be rendered 
within 30 days of selection of the Panel and shall be final and binding on 
CalPERS and candidates for office. Other procedures, including those 
for receiving and considering arguments and factual allegations, shall be 
determined by the Protest Panel in its sole discretion. A protest shall only 
be granted upon a finding that Board-adopted election procedures were 
not substantially followed and that, without this lack of substantial com- 
pliance, the election outcome would likely have been different. 
NOTE: Authority cited: Section 20121, Government Code. Reference: Section 
20121, Government Code; Dwva, Calif. School Employees' Assoc. v.PERS., etai, 
1993 Sacramento Superior Court Case No. 375842. 

History 

1. New section filed 8-9-94; operative 9-8-94 (Register 94, No. 32). 

2. Amendment of Note filed 8-24-98; operative 9-23-98 (Register 98, No. 35). 



3. Amendment filed 11-30-2000 as an emergency; operative 11 -30-2000 (Regis- 
ter 2000, No. 48). A Certificate of Compliance must be transmitted to OAL by 
3-30-2001 or emergency language will be repealed by operation of law on the 
following day. 

4. Change without regulatory effect correcting subsections (b) and (c) of 
1 1-30^2000 emergency action filed 12-18-2000 pursuant to section 100. title 
1, California Code of Regulations (Register 2000, No. 51). 

5. Pursuant to the order of the Superior Court of California, Court of Sacramento, 
dated April 20, 2001 , in California State Employees Association, Local 1000. 
SLIU. AFL-CIO, CLC v. Public Employees Retirement System, et ai. No. 
OOCSOl 662, the emergency amendment filed 1 1-30-2000 has been invalidated 
and is unenforceable until adopted in full compliance with the Administrative 
Procedure Act. Reinstatement of section as it existed priorto 1 1-30-2000 emer- 
gency amendment (Register 2001, No. 22). 

6. Amendment filed 8-2-2001; operative 9-1-2001 (Register 2001, No. 31). 

§ 554.1 0. Ballot Designations [Effective until 1-16-2002]. 

Each candidate for an elective Board member position may choose a 
Ballot Designation at the time he or she certifies acceptance of nomina- 
tion as a candidate. The Ballot Designation will be printed below the can- 
didate's name, on the ballots that are mailed to each eligible voter. The 
Ballot Designation must be accurate and not misleading. 

Each candidate must choose a single Ballot Designation, in conformi- 
ty with the following guide hnes: 

(a) If the candidate is already a Board member at the time he or she cer- 
tifies acceptance of nomination, then the candidate may use the single 
word "Incumbent" and this is the only time it may be used as a designa- 
tion. The word "Incumbent" may not be used in conjunction with the can- 
didate' s title as a CalPERS Board member. 

(b) If the candidate holds an elected office at any level of government, 
or is an elected or appointed judge for a court of record in California, at 
the time he or she certifies acceptance of nomination, he or she may use 
the title of that office. If the candidate is retired from that office, the title 
iTiay still be used, if preceded by the word "Retired." The candidate shall 
not make any other reference to a prior elected or appointed office, such 
as by the word "former" or "ex." 

(c) The candidate may designate the principal profession or occupa- 
tion in which he or she is engaged, at the time he or she certifies accep- 
tance of nomination. This designation may be general or specific, but it 
shall not exceed three words in length. If the candidate is retired from the 
principal profession or occupation, it may still be designated if preceded 
by the word "Retired." Any geographic reference that is part of the desig- 
nation shall count as one word, but the word "Retired" shall not count. 
The candidate shall not make any other reference to prior professional or 
occupational status, such as by the word "former" or "ex." 

(d) The candidate shall not use the Ballot Designation to state, or im- 
ply, an endorsement or alliance. This means the designation cannot name 
a political party or any racial, religious or ethnic group. The candidate 
shall not use the Ballot Designation to state, or imply, a particular level 
of skill or performance. This means the designation cannot be modified 
by adjectives such as outstanding, leading, expert, virtuous, or eminent. 

The determination of whether or not a Ballot Designation conforms to 
these guidelines shall be made in the sole discretion of the Election Coor- 
dinator. If a Ballot Designafion does not conform, in whole or in part, it 
shall be reformed by the Election Coordinator with prior notice to the 
candidate, before it is printed on the ballots. 

The Election Coordinator will provide each candidate with written cri- 
teria for choosing a Ballot Designafion in conformity with these guide- 
lines, including examples of designations that were used in prior elec- 
fions. The choice of Ballot Designafion must be made by each candidate, 
and the Pubhc Employees' Retirement System accepts no responsibility 
for the content or validity of a given Ballot Designation. 

NOTE: Authority cited: Section 20121, Government Code. Reference: Section 
20096, Government Code. 

History 

1. New section filed 8-24-98; operative 9-23-98 (Register 98, No. 35). 

2. Amendment of subsections (a) and (d) filed 1 1-30-2000 as an emergency; op- 
erative 1 1-30-2000 (Register 2000, No. 48). A Certificate of Compliance must 
be transmitted to OAL by 3-30-2001 or emergency language will be repealed 
by operation of law on the following day. 

3. Change without regulatory effect correcting subsection (a) of 11-30-2000 
emergency action filed 12-18-2000 pursuant to section 100, title 1, California 
Code of Regulations (Register 2000, No. 51). 



Page 46.10 



Register 2008, No. 26; 6-27-2008 



Title 2 



Public Employees' Retirement System Board 



§ 555.4 



4. Pursuant to the order of the Superior Court of California, Court of Sacramento, 
dated April 20, 2001, in California Slate Employees Association, Local 1000, 
SEW. AEL-CIO. CLC v. Public Employees Retirement System, et al. No. 
00CS01662, the emergency amendment filed 1 1 -30-2000 has been invalidated 
and is unenforceable until adopted in full compliance with the Administrative 
Procedure Act. Reinstatement of section as it existed prior to 1 1-30-2000 emer- 
gency amendment (Register 2001, No. 22). 

5. Amendment of subsections (a) and (d) adopted by CalPERS Board 3-21-2001; 
submitted to OAL and filed 8-2-2001; operative 1-16-2002 (Register 2001, 
No. 31 ). Text of version effective through January 15, 2002, retained for refer- 
ence. 



§ 554.1 0. Ballot Designations [Effective 1-16-2002\. 

Each candidate for an elective Board member position may choose a 
Ballot Designation at the time he or she certifies acceptance of nomina- 
tion as a candidate. The Ballot Designation will be printed below the can- 
didate's name, on the ballots that are mailed to each eligible voter. The 
Ballot Designation must be accurate and not misleading. 

Each candidate must choose a single Ballot Designation, in conformi- 
ty with the following guidelines: 

(a) If the candidate already holds the Board member position to which 
he or she is seeking election, then the candidate may use the single word 
"Incumbent" and this is the only time it may be used as a designation. The 
word "Incumbent" may not be used in conjunction with the candidate's 
title as a CalPERS Board member. 

(b) If the candidate holds an elected office at any level of government, 
or is an elected or appointed judge for a court of record in California, at 
the time he or she certifies acceptance of nomination, he or she may use 
the title of that office. If the candidate is retired from that office, the title 
may still be used, if preceded by the word "Retired." The candidate shall 
not make any other reference to a prior elected or appointed office, such 
as by the word "former" or "ex." 

(c) Tlie candidate may designate the principal profession or occupa- 
tion in which he or she is engaged, at the time he or she certifies accep- 
tance of nomination. This designation may be general or specific, but it 
shall not exceed three words in length. If the candidate is retired from the 
principal profession or occupation, it may still be designated if preceded 
by the word "Retired." Any geographic reference that is part of the desig- 
nation shall count as one word, but the word "Retired" shall not count. 
The candidate shall not make any other reference to prior professional or 
occupational status, such as by the word "former" or "ex." 

(d) The candidate shall not use the Ballot Designation to state, or im- 
ply, an endorsement or alliance. This means the designation cannot name 
a political party or any racial, religious or ethnic group. The candidate 
shall not use the Ballot Designation to state, or imply, a particular level 
of skill or performance. This means the designation cannot be modified 
by adjectives such as outstanding, leading, expert, virtuous, or eminent. 

The determination of whether or not a Ballot Designation conforms to 
these guidelines shall be made in the sole discretion of the Election Coor- 
dinator. If a Ballot Designation does not conform, in whole or in part, it 
shall be reformed by the Election Coordinator with prior notice to the 
candidate, before it is printed on the ballots. 

The Election Coordinator will provide each candidate with written cri- 
teria for choosing a Ballot Designation in conformity with these guide- 
lines, including examples of designations that were used in prior elec- 
tions. The choice of Ballot Designation must be made by each candidate, 
and the California Public Employees' Retirement System accepts no re- 
sponsibility for the content or vahdity of a given Ballot Designation. 

The amendments to this section adopted on March 21, 2001 shall be- 
come operative on January 16, 2002. The addition of this section filed 
August 24, 1998 shall remain in effect until that time. 
Note. Authority cited: Section 20121, Government Code. Reference: SecUon 
20096, Government Code. 

History 

1. New section filed 8-24-98; operative 9-23-98 (Register 98, No. 35). 

2. Amendment of subsections (a) and (d) filed 11 -30-2000 as an emergency; op- 
erative 1 1-30-2000 (Register 2000, No. 48). A Certificate of Compliance must 
be transmitted to OAL by 3-30-2001 or emergency language will be repealed 
by operation of law on the following day. 



3. Change without reguiatoiy effect correcting subsection (a) of 11-30-2000 
emergency action filed 12-18-2000 pursuant to section 100, title 1, California 
Code of Regulations (Register 2000, No. 51). 

4. Pursuant to the order of the Superior Court of California, Court of Sacramento, 
dated April 20, 2001, in California State Employees Association, Local 1000. 
SEW, AEL-CIO, CLC v. Public Employees Retirement System, et ai. No. 
OOCSOl 662, the emergency amendment filed 1 1-30-2000 has been invalidated 
and is unenforceable until adopted in full compliance with the Adininistrative 
Procedure Act. Reinstatement of section as it existed prior to 1 1-30-2000 emer- 
gency amendment (Register 2001, No. 22). 

5. Amendment of subsections (a) and (d) adopted by CalPERS Board 3-2 1-2001 ; 
submitted to OAL and filed 8-2-2001; operative 1-16-2002 (Register 2001, 
No. 31). 

§ 555. Action of Executive Officer. 

The Executive Officer is hereby authorized to act: on any application 
for refund of contributions, crediting of service, correction of records, re- 
tirement for disabihty or service, and death benefits and allowances; and 
to fix and authorize the payment of any refund, allowance or benefit to 
which such applicant may be found to be entitled; to cause medical ex- 
amination of retired persons; and to reinstate such persons from retire- 
ment upon his determination that disability does not exist. The Executive 
Officer may refer the question of an applicant's entitlement to any re- 
fund, allowance or benefit or of his reinstatement from retirement to a 
hearing officer for hearing. 

The Executive Officer is hereby authorized and empowered to dele- 
gate to his subordinates authority to take any such action on his behalf. 
NOTE; Authority cited for Article 2: Section 20120, Government Code. Refer- 
ence: Sections 20107 and 20133, Government Code. 

History 

1 . New Article 2 ( §§ 555 through 555.4) filed 8-10-64; effective thirtieth day 
thereafter (Register 64, No. 17). 

2. Amendment filed 2-26-75; effective thirtieth day thereafter (Register 75, No. 
9). 

§ 555.1 . Right of Appeal. 

Any apphcant dissatisfied with the action of the Executive Officer on 
his application, other than his referral of the matter for hearing, may ap- 
peal such action to the Board by filing a written notice of such appeal at 
the offices of the Board within thirty days of the date of the mailing to him 
by the Executive Officer, at his most recent address of record, of notice 
of the action and right of appeal. An appeal shall contain a statement of 
the facts and the law forming the basis for appeal. Upon a satisfactory 
showing of good cause, the Executive Officer may grant additional time 
not to exceed 30 days, within which to file such appeal. 

History 

1. Amendment filed 4-28-76; effective thirtieth day thereafter (Register 76, No. 
18). 

§ 555.2. Statement of Issues. 

Any applicant filing an appeal shall be entitled to a hearing, and upon 
the filing of an appeal in accordance with these rules, or upon the Execu- 
tive Officer's referral of any question for hearing, the Executive Officer 
shall execute a statement of issues. Such action of the Executive Officer 
shall not preclude the Board from recalling the proceedings for its review 
or hearing. 

§ 555.3. Accusation. 

Any member whose retirement for disabihty has been requested by his 
employer shall be entitled to a hearing. The Executive Officer, upon de- 
termination that a member shall be retired for disability on such applica- 
tion, shall file an accusation and serve a copy thereof on the member and 
his employer. 

§ 555.4. Hearings. 

All hearings shall be conducted in accordance with the provisions of 
Chapter 5, Part 1 , Division 3, Title 2 of the Government Code. Each case 
shall be heard by the hearing officer alone. All proposed decisions of 
hearing officers shall be referred to the Board. The Executive Officer is 
hereby authorized and empowered to take, in the name and on behalf of 
the Board, any action which the Board is authorized or directed by law 
to take with respect to procedural and jurisdictional matters in connection 
with any case in which a statement of issues or accusation has been filed. 



[The next page is 47.] 



Page 46.11 



Register 2008, No. 26; 6-27-2008 



Title 2 



Public Employees' Retirement System Board 



§558 



• 



§ 556. Service Fees. 

Reasonable requests for information and service with respect to a 
claim for benefits shall be satisfied without charge, except that there shall 
be a standard charge for copywork. With respect to matters other than a 
claim for benefits, requests for information and service shall be satisfied 
only upon agreement to pay to the System a fee representing cost to the 
System for providing such information and service. 
NOTE: Authority cited: Sections 20120-20124, Government Code. Reference: 
Sections 20120-20124. Government Code. 

History 
1 . New section filed 12-6-77; effective thirtieth day thereafter (Register 77, No. 

50). 

§ 558. Incompatible Activities Statement. 

The following activities are deemed to be inconsistent, incompatible, 
in conflict with, or inimical to the duties of PERS officers or employees: 

(1) Using the prestige or influence of the state or PERS for the officer's 
or employee's private gain or advantage or the private gain of another. 

(2) Using state time, facihties, equipment (including but not limited to 
xerox machines, telephones, vehicles, postage meters, data processing or 
word processing equipment, or personal computers) or supplies for pri- 
vate gain or advantage. 

(3) Using, or having access to, confidential information available by 
virtue of state employment (including but not limited to confidential data 
filed by a member or beneficiary with the board, and confidential con- 
tract, financial, investment or legal information) for private gain or ad- 
vantage. 

(4) Providing confidential information (including but not limited to 
confidential data filed by a member or beneficiary with the board, and 
confidential contract, financial, investment or legal information) to per- 
sons to whom issuance of this information has not been authorized. 

(5) Receiving or accepting money or any other consideration (includ- 
ing but not hmited to entertainment, lodging, travel expenses, services or 
other items) from anyone other than the state for the performance of his 
or her job duties as a state officer or employee. 

(6) Performance of an act in other than his or her capacity as a state 
officer or employee knowing that the act may later be subject, directly or 
indirectly to the control, inspection, review, audit, or enforcement by the 
officer or employee. 

(7) Receiving or accepting, directly or indirecfly, any gift, including 
money, or any service, gratuity, favor, entertainment, hospitality, loan, 
or any other thing of value from anyone who is doing or is seeking to do 
business of any kind with the Public Employees' Retirement System or 
whose activities are regulated or controlled by PERS under circum- 
stances from which it reasonably could be substantiated that the gift was 
intended to influence the officer or employee in his or her official duties 
or was intended as a reward for any official actions performed by the offi- 
cer or employee. 

(8) Subject to any other laws, rules, or regulations as pertains thereto, 
not devoting his or her full time, attention, and efforts to his or her state 
office or employment during his or her hours of duty as a state officer or 
employee. 

The following activities are specifically deemed to be incompatible, 
inconsistent, in conflict with, or inimical to the duties of PERS officers 
and employees due to the nature of the responsibilities of the Public Em- 
ployees' Retirement System: 

(9) Accepting commercial transportation or lodging of any type, or ac- 
cepting direct or indirect payment or reimbursement for lodging or trans- 
portation of any type from any person, business entity, or organization 
doing or seeking to do business of any kind with PERS, except where: 

(A) the travel and/or accommodations or payment or reimbursement 
for such are provided in connection with training, or a meeting, seminar, 
or conference which the Executive Officer, or the Board President where 
the proposed attendee is the Executive Officer, has determined to be of 
educational value to the attendee; and 



(B) the acceptance of the transportation, lodging, payment or reim- 
bursement for such is not prohibited by any other section of this regula- 
tion or by any other provision of law. 

PERS or the State of California shall pay for travel and lodging ex- 
penses of PERS officers and employees on PERS-related business 
whenever possible. Only if the system or the state is unable to pay the of- 
ficer's or employee's travel or lodging expenses may a PERS officer or 
employee accept commercial transportation or lodging of any type, or re- 
imbursement or direct or indirect payment for lodging or transportation 
of any type, from sources other than PERS or the State of California. 

Prior to accepting commercial transportation or lodging or payment or 
reimbursement for lodging and/or transportation of any type from a 
source other than PERS or the State of California, the Assistant Executive 
Officers and employees shall obtain written approval from the Executive 
Officer, and the Executive Officer shall obtain prior written approval 
from the Board President. 

(10) Claiming travel expenses from PERS for other than state busi- 
ness. No employee shall accept dual payment for travel expenses. 

(1 1) Initiating contact with state administrators or legislative person- 
nel for the purpose of presenting PERS' policy or position on legislation 
or amendments thereto or initiative or referendum petitions, unless such 
act is a part of the officer's or employee's official duties. This prohibition 
does not preclude officers or employees, as private cifizens, from con- 
tacting legislative or administrative personnel. 

(12) PubUshing any writing or making any statement to the media 
which directly or indirectly refers to his or her connection with PERS un- 
less such an act is part of the officer's or employee's official duties, or 
unless such writing or statement contains an appropriate disclaimer indi- 
cating that the views expressed are his or her own and do not necessarily 
reflect the views of PERS or the Board. 

(13) PERS employees and officers shall report all gifts, gratuities and 
other considerations which are not prohibited by this regulafion, except 
those which are from family members or which are clearly given in a per- 
sonal or social setting. Such report shall be on PERS' gratuity reporting 
form, in the month the gift was received. Even gifts which have no mone- 
tary value or are of nominal value are to be reported. 

(14) All gifts, gratuifies and other consideration which are prohibited 
by the provisions of this regulafion are to be returned to the sender when- 
ever possible. The return of prohibited gifts and other consideration can 
be at PERS' expense, through the mail room, and can include any insur- 
ance needed. 

(15) For purposes of this regulafion, "outside employment" is defined 
as any services performed by a PERS employee or officer on his or her 
own time, during other than normal working hours, for which he or she 
receives any form of compensafion. 

Outside employment is deemed inconsistent, incompafible, in conflict 
with, or inimical to the officer's or employee's duty to PERS if it violates 
any of the provisions of this regulafion, or any other law. 

PERS officers and employees must obtain prior approval, in the man- 
ner described below, before engaging in the types of employment de- 
scribed in (A)-(C): 

(A) Outside employment with any person, organizafion or business 
entity of any type that contracts with PERS to provide goods or services, 
or contracts with PERS for any other purpose. 

(B) Being a partner in, or acfing as an officer or board member of, or 
as a consultant or contractor to, or owning more than a five percent own- 
ership interest in any business, institution, or any agency which he/she 
knows has financial dealings with PERS. 

(C) Any employment, the nature of which is parallel to or closely aUied 
with the services provided to PERS by the officer or employee, including 
but not hmited to, attorneys performing outside legal work, investment 
officers providing outside investment services, or actuaries providing 
outside actuarial services. 

A PERS officer or employee who wishes to engage in outside employ- 
ment or an acfivity which meets the criteria set forth above in subsecfion 



Page 47 



Register 2006, No. 3; 1-20-2006 



§560 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



(C), must first make a written request for and receive a written determina- 
tion that such outside employment or activity is not inconsistent, incom- 
patible, or in conflict with the officer's or employee's duty to PERS. An 
employee will obtain this determination from his or her Division Chief 
or function head. Division Chiefs or function heads, and Assistant Ex- 
ecutive Officers, will obtain this determination from the PERS Executive 
Officer. 

The PERS Executive Officer shall not engage in such outside employ- 
ment which meets the criteria set forth above in subsection (C), unless he 
or she has obtained prior approval from the Board by way of formal 
Board action. 

An officer or employee who is engaged in outside employment on the 
effective date of this regulation may continue such employment while the 
request for determination is being processed. 

This regulation does not attempt to specify every possible limitation 
on officer or employee activities that might be determined incompatible 
under Government Code section 19990. 

Nothing in this regulation shall exempt any person from applicable 
provisions of any other laws of this state. The standards of conduct set 
forth in this regulation are in addition to those prescribed in PERS' Con- 
flict of Interest Code. 

If a PERS officer or employee violates any provision of this regulation, 
he or she will be liable for disciplinary action to include possible dismiss- 
al or removal from office. 

If a PERS officer or employee is notified that he or she has violated any 
provision of this regulation, or that a category of outside employment is 
prohibited, the officer or employee may appeal through PERS' personnel 
complaint procedure. 

NOTE; Authority cited: Section 20120. Government Code. Reference: Section 
19990, Government Code. 

History 

1. New section filed 1-17-89; operative 2-16-89 (Register 89, No. 11). 



Article 3. Public Employees' Retirement 
System — Conflict of Interest Code 



§ 560. General Provisions. 

The Political Reform Act found at Government Code sections 81000, 
et seq., requires state and local government agencies to adopt and pro- 
mulgate a Conflict of Interest Code. The purpose of this conflict of inter- 
est code is to facilitate the disclosure of the economic interests of public 
officials serving the California Public Employees' Retirement System 
("CalPERS") that may be materially affected by CalPERS actions in 
which they participate. 

Designated employees, consultants, board members and candidates 
shall file statements of economic interests with CalPERS' filing officer. 
With respect to certain employees and officials such as board members 
who are determined to manage public investments, within the meaning 
of Government Code section 87200, CalPERS shall make and retain a 
copy and forward the original of these statements to the Fair Political 
Practices Commission. While public officials who manage investments 
are not required to be listed in this code, those officials are listed at the 
end of this document for clarity. Unlike the designated employees, these 
officials' reporting obligations are not limited by reference to a reporting 
category. 

This provision incorporates by reference 2 California Code of Regula- 
tions, Section 18730 and any amendments to it duly adopted by the Fair 
Political Practices Commission. Those regulations along with the at- 
tached appendix in which officials and employees are designated and dis- 
closure categories are set forth, constitute the CalPERS Conflict of Inter- 
est Code. 



CONFLICT OF INTEREST CODE FOR THE PUBLIC 
EMPLOYEES' RETIREMENT SYSTEM 

Appendix 

Assigned Disclosure Designated Positions Category 

ACTUARIAL & EMPLOYER SERVICES DIVISION 

Chief Actuary 1 

Division Chief 1 

Assistant Division Chief I 

Associate Pension Actuary 1 

Senior Pension Actuary ] 

Staff Services Manager (Special Projects) 1 

Staff Services Manager II (Supervisor) 1 

Supervising Pension Actuary 1 

BENEFIT SERVICES DIVISION 

Division Chief 1 

Staff Services Manager III 1 

COMET — PENSION SYSTEM RESUMPTION PROJECT 

Division Chief 1 

CUSTOMER CONTACT CALL CENTER 

Division Chief 1 

DIVERSITY OUTREACH PROGRAM 

Diversity Program Coordinator 1 

EXECUTIVE OFFICE 

Assistant Executive Officer (All) 1 

CEA, Special Asst to Board President 1 

FISCAL SERVICES DIVISION 

Division Chief 1 

Accounting Administrator I (Specialist)(Supervisor) 1 

Accounting Administrator II 1 

Accounting Administrator III 1 

Staff Administrative Analyst (General) 1 

Staff Services Manager 1 1 

Staff Services Manager II (Supervisor) 1 

HUMAN RESOURCES DIVISION 

Division Chief 1 

Labor Relations Manager 1 

Staff Services Manager II (Managerial) 1 

Staff Services Manager III 1 

INNOVATION SERVICES DIVISION 

Division Chief 1 

Data Processing Manager II 3 

Data Processing Manager III 3 

Senior Information System Analyst (Supervising) 3 

INVESTMENT OFFICE 

Division Chief 1 

Assistant Investment Officer 1 

Associate Administrative Analyst 1 

Associate Governmental Program Analyst 1 

Investment Officer (Ail levels) 1 

Mortgage Investment Specialist I 1 

Mortgage Investment Specialist II 1 

Principal Investment Officer 1 

Retirement Program Specialist (All) 1 

Staff Services Analyst (General) 1 

Staff Services Manager I 1 

Staff Services Manager II 1 

LEGAL OFFICE 

Deputy General Counsel 1 

Assistant Chief Counsel 1 

Staff Counsel 1 

Staff Counsel III (All Classes) 1 

Staff Counsel IV 1 

MEMBER SERVICES DIVISION 

Division Chief 1 

Staff Services Manager II (Supervisor) 1 

Staff Services Manager III 1 

OFFICE OF AUDIT SERVICES 

Division Chief 1 

Associate Program Evaluator 1 

Program Evaluator Specialist 1 

Program Evaluator 1 

Senior Program Evaluator Specialist 1 

Senior Program Evaluator 1 

Staff Program Evaluator 1 

Staff Program Evaluator Specialist 1 



• 



• 



Page 48 



Register 2006, No. 3; 1-20-2006 



Title 2 



Public Employees' Retirement System Board 



§561 



Assignexl Disclosure Designated Positions 



Categoiy 



OFFICE OF DECISION AND PROGRAM SUPPORT SERVICES 

Division Chief 1 

Associate Governmental Program Analyst 2 

Health Program Manager II 2 

Health Program Manager III 2 

Research Analyst II 2 

Research Program Specialist I 2 

Research Program Specialist II 2 

Retirement Program Specialist II — Tech 2 

Staff Services Manager (All) 2 



OFFICE OF ENTERPRISE COMPLIANCE 

Chief Compliance Officer 

Investment Officer I 



1 



OFFICE OF EMPLOYER & MEMBER HEALTH SERVICES 

Division Chief I 

Retirement Program Specialist II (Tech) 2 

Retirement Program Specialist II (Supervising) 2 

Staff Services Manager I 2 

Staff Services Manager IJ (Supervising) 2 

Staff Services Manaeer III 2 



OFFICE OF GOVERNMENTAL AFFAIRS 
Division Chief 



OFFICE OF HEALTH POLICY & PLAN ADMINISTRATION 

Division Chief 

Administrator of Benefit Programs 

Associate Governmental Program Analyst 

Associate Pension Actuary 

Health Program Manager III 

Nurse Consultant 2 

Research Analyst II 2 

Retirement Program Specialist II — Tech 2 

Staff Services Analyst 2 

Staff Services Manager I 2 

Staff Services Manager II 2 

OFFICE OF INFORMATION SECURITY 

Data Processing Manager III I 



OFFICE OF POLICY AND PROGRAM DEVELOPMENT 

Division Chief 

Staff Services Manager I 



OPERATIONS SUPPORT SERVICES DIVISION 

Division Chief 

Staff Services Manager I 

Staff Services Manager II (Supervisor) 



PUBLIC AFFAIRS OFFICE 

Division Chief 

Staff Services Manager II 

R STREET PROJECT 

Division Chief 

Staff Services Manager III 



STRATEGIC MANAGEMENT SERVICES DIVISION 

Division Chief 1 

Data Processing Manager III 3 

Senior Information System Analyst (Supervising) 3 

TECHNOLOGY SERVICES AND SUPPORT DIVISION 

Division Chief I 

Data Processing Manager II 3 

Data Processing Manager III 3 

Data Processing Manager IV 3 

System Software Specialist III (All Classes) 3 

CONTRACTS FOR SERVICES 

Consultants Who Do Not Manage Pubhc Investments* 1 



* Notwithstanding the designation of consultants who do not manage public in- 
vestments as category 1 filers, the General Counsel may determine in writing that 
a particular consultant is hired to perform a range of duties such that category 1 is 
not appropriate. In those cases, the General Counsel may designate any other re- 
porting category including any category not included in this Conflict of Interest 
Code. Such a determination by the General Counsel must be in writing and shall 
include a description of the consultant's duties and the consultant's disclosure 
category. The General Counsel's determination is a public record and shall be re- 
tained for public inspection in the same manner and location as this Conflict of In- 
terest Code. 

DISCLOSURE CATEGORIES — Category 1 

Designated individuals in Category 1 must report: 



All investments and business positions in business entities, and in- 
come (including gifts, loans, and travel payments) from sources which 
are of the type ( 1 ) to contract with CalPERS, or (2) in which funds admin- 
istered by the Board may be invested (including securities, real estate and 
business entities). 

All interest in real estate co-owned with, or purchased from, the 
above. 

Category 2 

Designated individuals in Category 2 must report: 

All investments and business positions in business entities, and in- 
come (including gifts, loans, and travel payments) from sources which 
are of the type to contract with CalPERS to provide health care services. 

Category 3 

Designated individuals in Category 3 must report: 

All investments and business positions in business entities, and in- 
come (including gifts, loans, and travel payments) from sources which 
are of the type to sell, rent or lease information technology equipment, 
hardware, software, facilities, supplies or services to CalPERS. 

OFFICIALS WHO MANAGE PUBLIC INVESTMENTS 

It has been determined that individuals in the positions Hsted below are 
officials who manage public investments, within the meaning of Govern- 
ment Code section 87200, and will file the Form 700 Statement of Eco- 
nomic Interests: 

Board Members 

Chief Executive Officer 

Deputy Executive Officer 

General Counsel 

Chief Investment Officer 

Assistant Executive Officer — Investment Operations 

Senior Investment Officer (all classes) 

Senior PortfoUo Manager (all classes) 

Investment Manager, Asset Allocation/Risk Management 

Portfolio Manager (all classes) 

Consultants Who Manage Public Investments 
NOTE; Authority cited: Article XVI, section 17, California Constitution; Sections 
87200 et seq., 87300 and 87304, Government Code. Reference: Sections 87200 
et seq. and 87300 et seq., Government Code. 

History 

1 . New article 3 (sections 560-560.9) filed 3-31-78; effective thirtieth day there- 
after. Approved by Fair Political Practices Commission 2-9-78 (Register 78, 
No. 13). For history of former article 3 (section 560), see Register 64, No.24. 

2. Amendment of article 3 (sections 560-560.9) filed 9-26-79; effective thirtieth 
day thereafter. Approved by Fair Political Practices Commission 8-8-79 (Reg- 
ister 79, No.39). 

3. Repealer of article 3 (sections 506-560.9) and new article 3 (section 560 and 
Appendix) filed 2-26-81; effective thirtieth day thereafter. Approved by Fair 
Pohtical Pracrices Commission 12-1-80 (Register 81, No.9). 

4. Amendment filed 5-11-90; operative 6-10-90. Approved by Fair Political 
Practices Commission 3-30-90 (Register 90, No. 25). 

5. Amendment of second paragraph and Appendix filed 2-10-95; operative 
2-10-95. Submitted to OAL for printing only pursuant to Government Code 
section 11 346.2 (Register 95, No. 6). 

6. Amendment of section and Appendix filed 5-9-2000; operative 6-8-2000. Ap- 
proved by Fair Political Practices Commission 3-1 0-2()00 (Register 2000, No. 
19). 

7. Repealer and new section and Appendix filed 1-17-2006; operative 
2-16-2006. Approved by Fair Political Practices Commission 11-7-2005 
(Register 2006, No. 3). 



Article 3.5. Member Home Loan Program 

§ 561 . Scope and Authority. 

These regulations interpret and implement the Currently Employed 
Member and Annuitant Single Family Home Loan Program authorized 
by Section 20200 of the Government Code. The regulations establish cri- 
teria and procedures for eligibility determination, loan origination, 
terms, servicing and termination. 

NOTE: Authority cited: Sections 20120 and 20200, Government Code. Reference: 
Section 20200, Government Code. 



Page 49 



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§561.1 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



History 

1. New Anicle 3.5 (Sections 561-561.14) filed 5-18-81; effective thirtieth day 
thereafter (Register 81, No. 21). 

2. Amendment of section and Note filed 11-18-2004; operative 12-18-2004 
(Register 2004, No. 47). 

§ 561 .1 . Program Criteria. 

Loans issued pursuant to these regulations shall provide the greatest 
benefit to currently eiTiployed members and annuitants consistent with 
the Board's role as fiduciary for all members and annuitants, the sound 
investment of the retirement fund, and the financial integrity of the pro- 
gram. 

NOTE: Authority cited: Sections 20120 and 20200, Government Code. Reference: 
Section 20200. Government Code. 

History 
l.AmendmentofNOTEfiled 1 1-18-2004; operative 12-18-2004 (Register2004, 

No. 47). 

§561.2. Definitions. 

"Annuitant" means a person who receives an allowance from the Sys- 
tem. 

"Board" means Board of Administration of the System. 

"Correspondent" means a lending institution which meets the Sys- 
tem's minimum standards for appointment for mortgage loan correspon- 
dents, which may be changed from time to time, and such lending institu- 
tion has entered into a correspondent's agreement with the System which 
is still valid at the time of origination of the loan. 

"Currently employed member" means a person who is in active state 
or local public agency service as defined in Section 20069 of the Govern- 
ment Code and contributing to the System on account of such service on 
the date of the application for the loan and on the date of the purchase of 
the loan by the System. 

"Home" means a single-family dwelling, two-family dwelling, 
three-family dwelling, four-family dwelling, single-family cooperative 
apartment, and single-family condominium within the state which the 
borrower intends to make his or her permanent and principal residence. 
"Home" does not include duplexes or other multi-unit equity interests or 
living units forming a part of any commercial activity. 

"Loan" means a loan secured by a first note and deed of trust on a home 
to a borrower pursuant to the provisions of these regulations. 

"Officers" means members of the Board of Administration of the 
California Public Employees' Retirement System, and its designees. 

"Principal residence" means the home that the borrower intends to 
occupy as permanent and principal residence for the term of the loan. It 
does not include a purchase for speculative, temporary, interim, or sec- 
ond home purposes. 

"System" means the Public Employees' Retirement System, an 
agency of the State of California. 

NOTE: Authority cited: Sections 20120, 20121, 20200 and 20201, Government 
Code. Reference; Sections 20002, 20021, 20200 and 20201, Government Code. 

History 

1 . Amendment adding new definition of ' 'Officers" and amendment of Note filed 
6-20-2002; operative 7-20-2002 (Register 2002, No. 25). 

2. Amendment of definitions of "Correspondent," "Currently employed member" 
and "Home" filed 1 1-18-2004; operative 12-1 8-2004 (Register 2004, No. 47). 

§ 561 .3. Eligibility for Loans. 

At the time of origination, loans shall be available only to qualified 
currently employed members and annuitants for the purchase of homes 
in accordance with the provisions of these regulations. 

A member or annuitant shall not be eligible for a second loan under this 
program while a loan which he originated remains outstanding. 

Effective January 1, 2002, "officers" as defined herein (Sec. 561.2) 
shall not be eligible for a home loan under the Member Home Loan Pro- 
gram. 

NOTE: Authority cited: Sections 20120, 20121, 20200 and 20201, Government 
Code. Reference: Sections 20002, 20021, 20200 and 20201, Government Code. 

History 
1. Amendment filed 10-29-92; operative 11-30-92 (Register 92, No. 44). 



2. Amendment adding third paragraph and amendment of Note filed 6-20-2002; 
operative 7-20-2002 (Registe^ 2002, No. 25). 

§ 561.4. Loan Standards. 

To the extent that they are not in conflict with the provisions of these 
regulations, loan standards shall be as defined in the Board's "Minimum 
Standards of Acceptability for Conventional Single-Family Real Estate 
Mortgage Loans and FHA-V A Loans" as they exist on the effective date 
of these regulations, and as they may be formally changed from time to 
time. 

Note: Authority cited: Sections 20120and 20200, Government Code. Reference; 
Section 20200, Government Code. 

History 

1 . Amendment of Note filed 1 1-18-2004; operative 12-18-2004 (Register 2004, 
No. 47). 

§561.5. Rates. 

Loans shall carry interest rates which shall be set in advance, from time 
to time, by the Board's Investment Committee. 

Note: Authority cited: Sections 201 20 and 20200, Government Code. Reference: 
Section 20200, Government Code. 

History 
1 . Amendment of Note filed 1 1-18-2004; operative 12-18-2004 (Register 2004, 

No. 47). 

§ 561 .6. Proof of Occupancy. 

Borrowers shall certify in their loan appHcation that they intend to 
occupy the home as their principal residence. Borrowers shall notify the 
correspondent servicing the loan immediately when they cease to occupy 
the home as their principal residence. 

Note: Authority cited; Sections 20120 and 20200, Government Code. Reference; 
Section 20200, Government Code. 

History 

1 . Amendment of Note filed 1 1-18-2004; operative 12-1 8-2004 (Register 2004, 
No. 47). 

§ 561 .7. Failure to Comply with Certification and Notice 
Requirement. 

Failure to comply with the provisions of Secfion 561.6 within ten days 
may cause the outstanding balance of the loan to become immediately 
due and payable. 

Note: Authority cited; Sections 201 20 and 20200, Government Code. Reference: 
Section 20200, Government Code. 

History 
1. Amendment of Note filed 11-1 8-2004; operative 12-1 8-2004 (Register 2004, 
No. 47). 

§ 561.8. Amount of Loan and Mortgage Insurance. 

At the time the loan is originated, the amount of the loan shall provide 
a loan to value ratio of a maximum of 100 percent for the first loan for 
a single-family dwelling, single-family cooperative apartment, or 
single-family condominium; 95 percent for the first loan on a two-fami- 
ly dweUing; and 90 percent for the first loan on a three-family dwelling 
or four-family dwelling. The portion of any loan exceeding 80 percent 
of value shall be insured by an admitted mortgage guaranty insurer con- 
forming to the provisions of Chapter 2A (commencing with Section 
12640.01 ) of Part 6 of Division 2 of the Insurance Code in an amount so 
that the unguaranteed portion of the loan does not exceed 75 percent of 
the market value of the property together with improvements thereon. 
Note: Authority cited; Sections 20120 and 20200, Government Code. Reference; 
Section 20200, Government Code. 

History 
1. Amendment of section and Note filed 11-18-2004; operafive 12-18-2004 

(Register 2004, No. 47). 

§561.9. Term of Loan. 

The maximum term for any loan shall be 360 months. 
Note; Authority cited; Sections 20120 and 20200, Government Code. Reference: 
Section 20200, Government Code. 

History 

1. Editorial correction of Reference cite (Register 95, No. 5). 

2. Amendment of Note filed 1 1-1 8-2004; operative 12-18-2004 (Register 2004, 

No. 47). 



Page 50 



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Title 2 



Public Employees' Retirement System Board 



§565 



§ 561 .1 0. Prepayment Penalties. 

Loans shall be subject to the prepayment penalties in effect as of the 
date the loan is closed as set forth in the Board' s real estate mortgage loan 
standards which may be formally changed from time to time. 

NOTE: Authority cited: Sections 20120 and 20200. Govemment Code. Reference: 
Section 20200, Govemment Code. 

History 
1. Amendment of Note filed 1 1-18-2004; operative 12-18-2004 (Register 2004, 

No. 47). 

§ 561 .1 1 . Origination and Servicing of Loans. 

Subject to the Housing Financial Discrimination Act of 1 977 and other 
applicable law, correspondents, when approved by the System, shall 
originate and service loans pursuant to the standard correspondent's 
agreement and the Board's "Instructions to Correspondents for the Sale 
and Servicing of Conventional Single Family and FHA and VA Loans 
Purchased by the California Public Employees' Retirement System" as 
it may be formally changed from time to time. 

NOTE: Authority cited: Sections 201 20 and 20200, Govemment Code. Reference: 
Section 20200, Govemment Code. 

History 

l.AmendmentofNOTEfiied 11-18-2004: operative 12-18-2004 (Register 2004, 
No. 47). 

§ 561 .1 2. Commitments. 

The Board shall not be obligated to purchase a loan from an originating 
correspondent unless all of the requirements for such purchase have been 
met and the Board has executed a commitment to purchase such loan. 
NOTE: Authority cited: Sections 201 20 and 20200, Govemment Code. Reference: 
Section 20200, Govemment Code. 

History 
1 . Amendment of Note filed 11-1 8-2004; operative 12-1 8-2004 (Register 2004, 

No. 47). 



§ 561 .13. Purchase Price. 

With respect to all loans for which the Board has executed a commit- 
ment, the purchase price shall not exceed that amount set forth in the Sys- 
tem' s commitment. 

NOTE: Authority cited: Sections 20120 and 20200, Govemment Code. Reference: 
Section 20200, Government Code. 

History 

1. Amendment of Note filed 1 1-18-2004; operative 12-18-2004 (Register 2004, 

No. 47). 

§ 561 .1 4. Administration of the Program. 

The Board, pursuant to Section 20099 of the Government Code, here- 
by delegates to the Executive Officer the administration of the program 
to act finally in accordance with these regulations and the instructions 
and supervision of the Board's Investment Committee. The Executive 
Officer may, in turn, delegate to subordinates the ministerial functions of 
the program. 

NOTE: Authority cited: Sections 20120and 20200, Govemment Code. Reference: 
Sections 20099 and 20200, Govemment Code. 

History 
1. Amendment of secfion and Note filed 11-18-2004; operative 12-18-2004 

(Register 2004, No. 47). 



Article 4. Contracts 

§ 565. Payment of Contributions. 

Member and employer contributions shall be received in the System's 
Sacramento office on or before 15 calendar days following the last day 
of the pay period to which they refer. 

NOTE: Authority cited: Sections 20120-20124, Govemment Code. Reference: 
Sections 20531 and 20531.5, Govemment Code. 



[The next page is 51.] 



Page 50.1 



Register 2006, No. 3; 1-20-2006 



Title 2 



Public Employees' Retirement System Board 



§ 566.1 



History 

1 . New section filed 4-30-76; designated effective 7-1-76 (Register 76, No. 1 8). 

2. Amendment filed 8-7-86; effective thirtieth day thereafter (Register 86, No. 
32). 

§ 565.1. Filing of Payroll Report. 

(a) For empJoyers reporting on tape or punched cards, a complete and 
orderly payroll report for each pay period shall be filed with the System 
at its Sacramento office on or before 30 calendar days following the last 
day of the period to which it refers. 

(b) For employers reporting on a pre-list method, a complete and or- 
derly payroll report for each pay period shall be filed with the System at 
its Sacramento office on or before 30 calendar days following the last day 
of the period to which it refers, or on or before 20 calendar days after 
mailing, by the System, of the pre-list therefor, whichever is the later. 
NOTE: Authority cited: Sections 20120-20124, Government Code. Reference: 
Secfions 20531 and 20531.5, Government Code. 

History 

1 . New section filed 4-30-76; designated effective 7-1-76 (Register 76, No. 1 8). 

§ 565.2. Interest on Late Payments. 

(a) If an employer fails to pay 90% of the contributions due within the 
prescribed time set forth in Section 565, interest shall be charged upon 
the amount due from the due date until received by the System in Sacra- 
mento. 

(b) The annual rate of interest to be charged shall be equal to the aver- 
age yield on moneys being invested in short-term fixed income securities 
during the month which includes the due date. 

NOTE: Authority cited: Sections 20120-20124, Government Code. Reference: 
Sections 20531 and 20531.5, Government Code. 

History 

1. New section filed 4-30-76; designated effective 7-1-76 (Register 76, No. 18). 

2. Amendment filed 8-7-86; effecdve thirtieth day thereafter (Register 86, No. 
32). 

§ 565.3. Cost Assessment for Late Reporting. 

(a) If an employer fails to file a payroll report as required by these regu- 
lations within the time period set forth, an assessment to recover the cost 
of follow-up and special accounting of $200.00 for each report shall be 
made. 

(b) If, in the opinion of the Executive Officer, such assessment is insuf- 
ficient to meet the added costs because of special circumstances, he shall 
estimate such costs and make an appropriate supplemental assessment. 
Note: Authority cited: Sections 20120-20124, Government Code. Reference: 
Sections 20531 and 20531.5, Government Code. 

History 

1. New section filed 4-30-76; designated effecfive 7-1-76 (Register 76, No. 18). 

2. Amendment filed 8-7-86; effective thirtieth day thereafter (Register 86, No. 
32). 

§ 565.4. Time Extension. 

(a) A reasonable extension of time for filing payroll reports and pay- 
ment of contributions may be granted by the Executive Officer, or the al- 
ternates whom he may designate, whenever in his judgment good cause 
exists. 

(b) This extension, at the discretion of the Executive Officer or his des- 
ignated alternate, may be granted for one specific report or blanket au- 
thority over a specific time span. 

(c) Requests for time extensions must be received in the Sacramento 
office of the System not later than 10 days prior to the due date of the re- 
ports and contributions for which the extension is being requested. 

(d) Waiver of Assessments. The Executive Officer, or his designated 
alternate, is empowered to waive assessments of interest or penalties if 
in his judgment reports of member and employer contributions and pay- 
ment of such contributions become delinquent as a result of conditions 
beyond control of the employer. 

(e) Audit Discrepancies. Contributions determined to be payable as a 
result of audits performed by the System are not subject to thiis Article. 
NOTE: Authority cited: Sections 20120-20124, Government Code. Reference: 
Sections 20531 and 20531.5, Government Code. 



History 

1. New section filed 4-30-76; designated effective 7-1-76 (Register 76, No. 1 8). 

§ 566. Contract Amendments. 

A contract amendment, or that portion thereof which requires an ad- 
justment in the amount of monthly benefit payments which were paid or 
payable prior to such contract amendment, shall become operative on the 
first day of the month next following a period of 30 days after receipt of 
final documentation of the adoption of such amendment by the Board, in 
its Sacramento office. 

NotE: Authority cited: Section 20120, Government Code. Reference; Sections 
20450, et seq.. Government Code. 

History 
1. New section filed 5-8-79; effective thirtieth day thereafter (Register 79, No. 
19). 

§ 566.1 . Employer-Paid Member Contributions (EPMC) 
Conversions. 

(a) A contracting agency or school employer may report the value of 
all or part of the normal contributions required to be paid by a member, 
for an individual or "group or class" of employees. 

A contracting agency may also, by contract amendment(s), convert 
Employer-Paid Member Contributions (EPMC) to compensation eam- 
able for a group or class of employees, only during the period of final 
compensation. A school employer may also, by contract amendment(s), 
convert EPMC to compensation eamable if all districts under the County 
Office of Education pass Resolutions for same. 

Either provision: (1) reporting the value of EPMC as compensation; 
or (2) converting EPMC to compensation eamable, can only be provided 
to an individual if the most closely related group also has the same EPMC 
provision. 

The contract amendment(s) to convert, must conform with the follow- 
ing standards as well as other applicable provisions of law: 

(1) The period of final compensation must be the 12 months or 36 
months immediately preceding the effective date of retirement. 

(2) The provision must be fully funded for the group or class of em- 
ployees, based on PERS' actuarial assumptions with the right of review 
set forth in subsection (b). 

(3) The provision must conform to federal Internal Revenue Code 
standards for "qualified plan status" of the System in Section 401(a), in- 
cluding "non-discrimination testing". 

(4) The provision must be contained in applicable current written labor 
agreements as well as in adopted resolutions. 

(5) The conversion of EPMC to compensation earnable is an increase 
in payrate for all purposes. 

(6) If an employee does not provide 12 months or 36 months notice of 
retirement, the employer shall make necessary corrections to the payrate 
and report adjustments to PERS. 

(7) If an employee cancels his/her retirement date, this provision shall 
be applied to his/her new final compensation period. 

(b) A contracting agency, school employer or recognized employee 
organization may request a review by PERS of the additional employer 
contributions required to fund the contract amendment provision to con- 
vert EPMC described in subsection (a). The request must comply with 
the following procedures: 

(1 ) PERS will provide written notice of the rate increase to the employ- 
er by certified mail. The employer will send a copy of PERS' written no- 
tice within ten days of its receipt to all affected employee organizations, 
by certified mail. 

(2) The request must be submitted in writing to PERS within 30 days 
of the date of certified receipt of the rate increase. The request should be 
addressed and submitted to the Actuarial Office, Public Employees' Re- 
tirement System, P.O. Box 942709, Sacramento, California, 
94229-2709. 

(3) A request made by an employer must be accompanied by an ordi- 
nance or resolution adopted by the governing body stating the rationale 
and factual basis and a copy of the receipt of certified mail and proof of 
service that a written notice of the rate change was sent to specified em- 



Page 51 



Register 2002, No. 21; 5-24-2002 



§569 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



ployee organization(s). A request made by an employee group must be 
accompanied by a signed statement of an officer of the employee organi- 
zation who is authorized to contractually bind the organization, setting 
forth the rationale and factual basis. 

(4) The request must contain actuarial evidence, prepared by a certi- 
fied actuary independent of PERS, sufficient to demonstrate why a dif- 
ferent rate may be justified to fund the contract amendment. All econom- 
ic and non-economic assumptions relied upon by the independent 
actuary must be submitted to PERS along with the request. 

PERS will acknowledge the request in writing within 1 5 calendar days 
of its receipt. PERS will issue a substantive determination to grant or 
deny the request for a different rate within 45 days from the date of ac- 
knowledgement. PERS will specify the reason(s) for its grant or denial, 
and will give the requestor a copy of all actuarial evidence and any other 
factual data relied upon in making its determination. 

(c) An employer or recognized employee organization directly af- 
fected by the PERS determination may petition the Board of Administra- 
tion to adopt a different rate for fully funding the conversion of EPMC 
during final compensation, based on the administrative record estab- 
lished during the review. The Board will not conduct an administrative 
hearing in accordance with the Administrative Procedure Act, but will re- 
spond to the petition in open session at one of its regularly scheduled 
meetings. 

Both the petitioner and PERS may submit a written statement to the 
Board in support of its position in advance of the meeting. This statement 
must not be longer than three pages, single spaced. It must be received 
by the Executive Office, Public Employees' Retirement System, P.O. 
Box 942701, Sacramento, CA 94229-2701, at least 1.5 days prior to the 
scheduled meeting. 

Note-. Authority cited: Sections 20120, 20615, 20615.5(g) and 21760, Govern- 
ment Code. Reference: Sections 1 1500, 20010, 200 11, 2001 1.1, 20023(c), 20615 
and 20615.5, Government Code; Calif Const. Art. XVI, Section 17(e). 

Research Note: See Internal Revenue Code Sections 401 and 415; 
Oden V. Public Employees' Retirement System (1994) 23 Cal.App.4th 
194 [28 Cal.Rptr. 388]; City of Sacramento v. Public Employees' Retire- 
ment System (1991) 229 Cal.App.3d 1470 [280 Cal.Rptr. 847]. 

History 

1 . New section filed 7-5-94 as an emergency; operative 7-5-94 (Register 94, No. 
27). A Certificate of Compliance must be transmitted to OAL by 1 1-2-94 or 
emergency language will be repealed by operation of law on the following day. 

2. Certificate of Compliance as to 7-5-94 order transmitted to OAL 10-28-94; 
disapproved by OAL and order of repeal as to 7-5-94 order filed on 12-14-94 
(Register 94, No. 50). 

3. New section refiled 12-15-94 as an emergency, with amendments; operative 
12-15-94 (Register 94, No. 50). A Certificate of Compliance must be trans- 
mitted to OAL by 4-14-95 or emergency language will be repealed by opera- 
tion of law on the following day. 

4. Certificate of Compliance as to 12-15-94 order including amendments trans- 
mitted to OAL 4-11-95 and filed 5-23-95 (Register 95, No. 21). 

§ 569. Employer Paid Member Contributions. 

A contracting agency or school employer that pays all or a portion of 
normal member contributions based on compensation eamable, as Em- 
ployer Paid Member Contributions (EPMC), must conform to the "group 
or class" requirements in Section 20691 of the Government Code and 
these regulations. 

(a) Specifically, the payment of EPMC must be: 

(1) Authorized in a written labor agreement; 

(2) Based on earnings for normally-required duties; 

(3) Based on earnings for normal hours of employment; 

(4) Paid periodically, along with the earnings on which it is based; 

(5) Based on earnings that are historically consistent; and 

(6) Not final settlement pay. 

However, the employer may qualify its payment of EPMC, by electing 
a cumulative "time-in-grade excepuon" which shall only apply to per- 
sons newly-hired into the pertinent group or class of employment. 

(b) To be classified as "newly-hired," a member of the group or class 
must not have been previously hired or retained by the employer in any 
capacity whatsoever. 



(c) To elect the time-in-grade exception, the employer's governing 
body must adopt an enabling resolution or ordinance in which it agrees 
to abide by the standards in this Section 569. The exception cannot take 
effect until after the resolution or ordinance has been reviewed and ap- 
proved by CalPERS. 

(d) The time-in-grade exception may be incremental , but it cannot ex- 
ceed a total of five (5) years. For example, the employer may set a three- 
year threshold for paying fifty percent (50%), which increases by paying 
twenty-five percent (25%) each year, for up to two additional years of 
time-in-grade. 

(e) Once a newly-hired employee has satisfied the fime-in-grade ex- 
ception, he or she shall be entitled to payment of EPMC on the same terms 
that apply to all other employees in the pertinent group or class. 

The excepfion from paying EPMC pursuant to this Section 569 is sepa- 
rate and apart from the exception from paying and reporting the value of 
EPMC as an item of special compensation pursuant to Section 571(a). 
Both of these exceptions are separate and apart from, or do they apply to, 
the process for converting EPMC to payrate during the period of final 
compensafion pursuant to Section 20692 of the Government Code. 
NOTE; Authority cited: Sections 20636(e) and 20121, Government Code. Refer- 
ence: Section 20691, Government Code. 

History 
1 . New section filed 9-22-99; operative 10-22-99 (Register 99, No. 39). 

§ 570. Final Settlement Pay. 

"Final settlement pay" means any pay or cash conversions of em- 
ployee benefits in excess of compensation eamable, that are granted or 
awarded to a member in connection with or in anticipation of a separation 
from employment. Final settlement pay is excluded from payroll report- 
ing to PERS, in either payrate or compensation eamable. 

For example, final settlement pay may consist of severance pay or so- 
called "golden parachutes". It may be based on accmals over a period of 
prior service. It is generally, but not always, paid during the period of fi- 
nal compensafion. It may be paid in either lump-sum, or periodic pay- 
ments. 

Final settlement pay may take the form of any item of special compen- 
sation not listed in Secfion 57 1 . It may also take the form of a bonus, retro- 
active adjustment to payrate, conversion of special compensation to pay- 
rate, or any other method of payroll reported to PERS. 
NOTE: Authority cited: Sections 20023, 20023(f) and 20120, Government Code; 
Calif Const. Art. XVI, Section 17. Reference: Section 20023, Government Code. 

Research Note: Oden v. Public Employees' Retirement System (1994) 23 
Cal.App.4th 194 [28 CafRptr.2d 388]; dry of Sacramento v. Public Employees' 
Retirement System {\99\) 229 C^AApp.M 1470 [280 Cal.Rptr. Ul\, Santa Moni- 
ca P.O.A. V. Bd of Admin. Public Employees' Retirement System (1978) 69 
Cal.App.3d 96 [137 Cal.Rptr. 771]. 

History 

1 . New section filed 7-5-94 as an emergency; operative 7-5-94 (Register 94, No. 
27). A Certificate of Compliance must be transmitted to OAL by 1 1-2-94 or 
emergency language will be repealed by operation of law on the following day. 

2. Certificate of Compliance, including amendment of section, as to 7-5-94 order 
U-ansmitted to OAL 10-28-94 and filed 12-14-94 (Register 94, No. 50). 

§ 571 . Definition of Special Compensation. 

(a) The following list exclusively idenfifies and defines special com- 
pensafion items for members employed by contracting agency and 
school employers that must be reported to CalPERS if they are contained 
in a written labor policy or agreement: 

(1) INCENTIVE PAY 

Bonus - Compensafion to employees for superior performance such 
as "annual performance bonus" and "merit pay". If provided only during 
a member's final compensafion period, it shall be excluded from final 
compensafion as "final setfiement" pay. A program or system must be in 
place to plan and idenfify performance goals and objecfives. 

Dictafion/Shorthand/Typing Premium - Compensafion to clerical em- 
ployees for shorthand, dictation or typing at a specified speed. 

Longevity Pay - Addifional compensation to employees who have 
been with an employer, or in a specified job classificafion, for a certain 
minimum period of fime exceeding five years. 



Page 52 



Register 2002, No. 21; 5-24-2002 



Title 2 



Public Employees' Retirement System Board 



§571 



Management Incentive Pay - Compensation granted to management 
employees in the form of additional time off or extra pay due to the 
unique nature of their Job. Employees within the group cannot have the 
option to take time off or receive extra pay. This compensation must be 
reported periodically as earned and must be for duties performed during 
normal work hours. This compensation cannot be for overtime, nor in 
lieu of other benefits excluded under the statutes, nor for special compen- 
sation not otherwise listed in this Section 571. 

Marksmanship Pay - Compensation to local police officers, county 
peace officers and school police or security officers who meet an estab- 
lished criterion such as "certification" as a marksperson. 

Master Police Officer- Compensation to local police officers, county 
peace officers and school pohce or security officers who meet specified 
requirements, years of employment, performance standards, education. 
Peace Officer Standard Training (POST), and perform a specialty assign- 
ment. 

Physical Fitness Program - Compensation to local safety members 
and school security officers who meet an established physical fitness cri- 
terion. 

Value of Employer-Paid Member Contributions (EPMC) - The full 
monetary value of employer-paid member contributions (EPMC) paid 
to CalPERS and reported as an item of special compensation on behalf 
of all members in a group or class. 

The value of EPMC is calculated on all "compensation eamable" ex- 
, eluding the special compensation of the monetary value of EPMC paid 
to CalPERS by the employer under Government Code section 
20636(c)(4), thus eliminating a perpetual calculation. 

(A) A resolution or ordinance of the governing body must be provided 
to CalPERS indicating the group or class, effective date, and the percent 
or amount of EPMC being paid and reported as an item of special com- 
pensation. The resolution or ordinance must be formally adopted by the 
employer's governing body, and submitted to CalPERS for review and 
approval. 

(B) The resolution or ordinance must specify that the value of EPMC 
will be reported as an item of special compensation consistently, for all 
members in the affected group or class of employment — except that the 
employer's governing body may elect a "time-in-grade exception" 
which shall only apply to persons newly-hired into the pertinent group 
or class of employment. 

(C) To be classified as "newly-hired," a member of the group or class 
must not have been previously hired or retained by the employer in any 
capacity whatsoever. 

(D) The time-in-grade exception must be elected in the same resolu- 
tion or ordinance, or by amendment thereto, as adopted by the employ- 
er's governing body for the purpose of paying and reporting the value of 
EPMC, pursuant to this Section 571. The exception can only be used for 
the value of EPMC, and not for any other item of special compensation. 

1. The time-in-grade exception must be applied consistently to all 
newly-hired employees in the pertinent group or class. 

2. The time-in-grade requirement may be incremental, not to exceed 
a total of five (5) years. For example, the initial requirement may be three 
years for paying fifty percent (50%) with increases of twenty-five per- 
cent (25%) for each additional year of time-in-grade. 

3. Once the initial time-in-grade requirement has been met by a new- 
ly-hired employee, the employer shall begin paying and reporting the 
value of EPMC for him or her to the same extent as for all others in the 
pertinent group or class. 

(E) To implement the time-in-grade exception, the employer's gov- 
erning body must acknowledge that it may experience an upward adjust- 
ment to its employer contribution rate. The acknowledgment must be in- 
cluded in the resolution or ordinance by which the employer's governing 
body elected to pay and report EPMC as an item of special compensation, 
by adoption or amendment thereto. 

(F) The full terms of the resolution or ordinance by which the employ- 
er' s governing body elects to pay and report the value of EPMC as an item 



of special compensation — along with any time-in-grade exception for 
newly-hired employees — must be incorporated into the written labor 
agreement that pertains to the affected group or class of employment. 

The time-in-grade exception from paying and reporting the value of 
EPMC as an item of special compensation pursuant to this Section 571, 
is separate and apart from the time-in-grade exception from paying 
EPMC pursuant to Section 569 of these regulations. Both of these excep- 
tions are separate and apart from, nor do they apply to, the process for 
converting EPMC to payrate during the period of final compensation, 
pursuant to Section 20692 of the Government Code. 

Off-Salary-Schedule Pay - Compensation in addition to base salary 
paid in similar lump-sum amounts to a group or class of employees. 
These payments are routinely negotiated through collective bargaining 
in heu of increases to the salary schedule. These payments are based on 
a similar percent of scheduled salary not to exceed six percent (6%) per 
fiscal year. The contracting agency or school employer may adopt similar 
acfion for non-represented groups or classes of employment as were ne- 
gotiated through collective bargaining. 

(2) EDUCATIONAL PAY 

The items of special compensation outlined below do not include re- 
imbursement to an employee for the cost of an application or test, books, 
tuition or travel. 

Applicator's Differential - Compensafion to employees who are re- 
quired to maintain a Qualified Pesticide Applicator's Certificate. 

Certified Public Accountant Incenfive - Compensation to miscella- 
neous employees passing an exam and receiving a license as a Certified 
Public Accountant. 

Educafional Incentive - Compensation to employees for completing 
educational courses, certificates and degrees which enhance their ability 
to do their job. A program or system must be in place to evaluate and ap- 
prove acceptable courses. The cost of education that is required for the 
employee's current job classification is not included in this item of spe- 
cial compensafion. 

Emergency Medical Technician Pay - Compensation to safety em- 
ployees who obtain and maintain an emergency medical technical (EMT) 
certificafion. 

Engineering Registrafion Premium - Compensation to engineers who 
have taken and passed a California engineering proficiency exam and are 
registered with the State of California. 

Government Agency Required Licenses - Compensation to em- 
ployees receiving and maintaining a license required by government or 
regulatory agencies to perform their duties. 

Intemafional Conference of Building Officials (ICBO) Cerfificate - 
Compensation to building inspectors who obtain and maintain an Inter- 
nafional Conference of Building Officials (ICBO) certificate in one or 
more certified areas. 

Mechanical Premium (Brake Adjustment License, SMOG Inspector 
License) - Compensation to employees who obtain and maintain state- 
required mechanical licenses. 

National Institute of Automodve Service Excellence (NIASE) Certifi- 
cate - Compensation to mechanics who obtain and maintain a National 
Insfitute of Automotive Service Excellence (NIASE) certificate. 

Notary Pay - Compensafion to clerical employees who obtain and 
maintain a notary public cerfificate from the State of California or are 
depufized by an agency's chief administrative officer to sign legal or fi- 
nancial documents for the agency. 

Paramedic Pay - Compensation to employees who obtain and main- 
tain certificafion in auxiliary medical techniques. 

Peace Officer Standard Training (POST) Certificate Pay - Compensa- 
fion to local police officers, county peace officers and school police or 
security officers who obtain Peace Officer Standard Training (POST) 
certificafion. 

Reading Specialist Premium - Compensation to cerfificated em- 
ployees who have obtained special training and provide literacy instruc- 
fion as part of their teaching dufies. 



Page 52.1 



Register 2002, No. 21; 5-24-2002 



§571 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



Recertification Bonus - Compensation lo local firefighters who obtain 
and maintain a fire safety and prevention certificate for a specified period 
of time. 

Special Class Driver's License Pay - Compensation to school bus 
drivers or street maintenance employees who are required to obtain and 
maintain a special class driver's license to perform their duties. 

Undergraduate/Graduate/Doctoral Credit - Compensation to school 
district employees who are required to obtain a specified degree. 

(3) PREMIUM PAY 

Temporary Upgrade Pay - Compensation to employees who are re- 
quired by their employer or governing board or body to work in an up- 
graded position/classification of limited duration. 

(4) SPECIAL ASSIGNMENT PAY 

Accountant Premium - Compensation to rank and file employees who 
are routinely and consistently responsible for developing the employer's 
budget. 

Administrative Secretary Premium - Compensation to an administra- 
tive secretary responsible for coordinating meetings, plans and other spe- 
cialized activities for the governing body of the contracting agency or 
school employer. 

Aircraft/Helicopter Pilot Premium - Compensation to safety em- 
ployees who are routinely and consistently assigned as aircraft/helicopt- 
er pilots. 

Asphalt Work Premium - Compensation to miscellaneous employees 
who are routinely and consistently assigned to mix, transport and/or ap- 
ply a tar-like substance for sidewalks, roads, roofs and/or parking lots. 

Audio Visual Premium - Compensation to miscellaneous employees 
who are routinely and consistently responsible for operating audio visual 
equipment. 

Auditorium Preparation Premium - Compensation to school em- 
ployees who are routinely and consistendy assigned to prepare audito- 
rium(s), i.e. setting up stages, lighting, props and chairs for performing 
arts purposes. 

Bilingual Premium - Compensation to employees who are routinely 
and consistently assigned to positions requiring communication skills in 
languages other than English. 

Branch Assignment Premium - Compensation to employees who are 
routinely and consistently assigned to a branch office or work site that is 
identified as "rural" or "remote" in the written labor agreement. 

Canine Officer/Animal Premium - Compensation to local poUce offi- 
cers, county peace officers and school police or security officers who are 
routinely and consistently assigned to handle, train and board a canine or 
horse. Compensation shall not include veterinarian fees, feed or other re- 
imbursable expenses for upkeep of the animal. 

Cement Finisher Premium - Compensation to miscellaneous em- 
ployees who are routinely and consistently assigned to finish cement 
work, e.g. watering, brushing or surfacing. 

Circulation Librarian Premium - Compensation to library staff who 
are routinely and consistently assigned to the circulation desk of the li- 
brary. 

Computer Operations Premium - Compensation to employees who 
have special knowledge of computer processes and applications. 

Confidential Premium - Compensation to rank and file employees 
who are routinely and consistently assigned to sensitive positions requir- 
ing trust and discretion. 

Contract Administrator Coordinator Premium - Compensation to 
school employees who routinely and consistently coordinate administra- 
tive contracts for instruction or facility maintenance. 

Crime Scene Investigator Premium - Compensation to local police of- 
ficers, county peace officers and school police or security officers who 
are routinely and consistently assigned to analyze and explore a crime 
scene. 

Critical Care Differential Premium - Compensation to nursing staff 
who are routinely and consistently assigned to critical and intensive med- 
ical or psychological care areas. 



D.A.R.E. Premium - Compensation to local police officers, county 
peace officers and school police or security officers who routinely and 
consistently provide training to students on drug abuse resistance. 

Detective Division Premium - Compensation to local police officers, 
county peace officers and school police or security officers who are rou- 
tinely and consistently assigned to a detective or investigative division 
or intelligence duties. 

Detention Services Premium - Compensation to employees who are 
routinely and consistently assigned to areas where criminally charged 
persons are confined and nursing staff who are routinely and consistently 
assigned to an adult facility where criminally charged persons are con- 
fined. 

DUI Traffic Officer Premium - Compensation to local police officers, 
county peace officers and school police or security officers who are rou- 
tinely and consistently assigned to enforce Driving Under the Influence 
(DUI) of alcohol or daig laws. 

Extradition Officer Premium - Compensation to local police officers 
and county peace officers who are routinely and consistently assigned to 
return a person to the custody of another jurisdiction. 

Fire Inspector Premium - Compensation to "fire inspector" persomiel 
who are routinely and consistently assigned to inspect buildings and oth- 
er permanent structures for compliance with governmental safety stan- 
dards. 

Fire Investigator Premium - Compensafion to "fire investigation" per- 
sonnel who are routinely and consistently assigned to investigate causes 
of destructive burning. 

Fire Prevention Assignment Premium - Compensation to rank and file 
local firefighters who are routinely and consistently assigned to specific 
fire inspections and investigative work during normal hours of employ- 
ment that may differ from the work schedule of fire suppression person- 
nel. 

Fire Staff Premium - Compensation to rank and file local firefighters 
who are roufinely and consistently assigned to administrative work dur- 
ing normal hours of employment that may differ from the work schedule 
of fire suppression personnel. 

Flight Time Premium - Compensation to safety employees for time 
spent as co-pilot or crew on work related air missions. 

Float Differential Premium - Compensation for nurses not specifical- 
ly assigned to a specific station. 

Front Desk Assignment (Jail) - Compensation to employees staffing 
a jail who are routinely and consistently assigned the duty of responding 
to questions from the public. 

Fugitive Officer Premium - Compensafion to local police officers and 
county peace officers who are routinely and consistently assigned to pur- 
sue persons who have or are fleeing from justice. 

Gang Detail Assignment Premium - Compensation to local police of- 
ficers, county peace officers and school police or security officers who 
are routinely and consistently assigned to enforce laws relating to a group 
of individuals banded together for unlawful acfivifies. 

Grading Assignment Premium - Compensafion to employees who are 
routinely and consistently assigned to inspect the degree of rise or de- 
scent of a sloping surface. 

Hazard Premium - Compensation to employees who are roufinely and 
consistently exposed to toxic, radioactive, explosive or other hazardous 
substances or perform hazardous acfivifies to implement health or safety 
procedures. 

Heavy/Special Equipment Operator - Compensafion to employees 
who are roufinely and consistently assigned to operate heavy equipment 
or specialized equipment. 

Height Premium- Compensafion to employees who are routinely and 
consistently required to work on ladders or mechanical devices at heights 
over 40 feet. 

Housing Specialist Premium - Compensation to city housing special- 
ists who are routinely and consistently assigned to perform administra- 
five functions of the housing division. 



Page 52.2 



Register 2002, No. 21; 5-24-2002 



Title 2 



Public Employees' Retirement System Board 



§571 



Juvenile Officer Premium - Compensation to local police officers, 
county peace officers and school police or security officers who are rou- 
tinely and consistently assigned to enforce laws that restrict the activities 
of juveniles. 

Lead Worker/Supervisor Premium - Compensation to employees 
who are routinely and consistently assigned to a lead or supervisory posi- 
tion over other employees, subordinate classifications, or agency-spon- 
sored program participants. 

Library Reference Desk Premium - Compensation to library staff who 
are routinely and consistently assigned to provide direction or resources 
to library patrons. 

Maintenance Premiums: 

Gas Maintenance Premium - Compensation to maintenance em- 
ployees who are routinely and consistently assigned to inspect gas con- 
struction, repair instruments or perform pipeline welder duties. 

Plumber Irrigation System Premium - Compensation to plumbers 
who are routinely and consistently assigned as irrigation systems plumb- 
ing specialists. 

Refuse Collector Premium - Compensation to maintenance em- 
ployees who are routinely and consistently assigned to collect refuse. 

Street Lamp Replacement Premium - Compensation to maintenance 
employees who are routinely and consistently assigned to replace street 
lamps from an aerial bucket. 

MCO Instructor Premium - Compensation to miscellaneous em- 
ployees who are routinely and consistently assigned to train Motor Coach 
Operators, i.e. bus drivers. 

Motorcycle Patrol Premium - Compensation to local police officers 
and county peace officers who are routinely and consistently assigned to 
operate and/or patrol on motorcycle. 

Mounted Patrol Premium - Compensation to local police officers and 
county peace officers who are routinely and consistently assigned to pa- 
trol on horseback. 

Narcotic Division Premium - Compensation to local police officers, 
county peace officers and school police or security officers who are rou- 
tinely and consistently assigned to drug enforcement. 

Paramedic Coordinator Premium - Compensation to paramedics who 
are routinely and consistently assigned to coordinate training activities 
in auxiliary medical techniques. 

Park Construction Premium - Compensation to groundskeepers who 
are routinely and consistently assigned to build park equipment. 

Park Maintenance/Equipment Manager Premium - Compensation to 
park maintenance employees who are routinely and consistently as- 
signed to equipment management and other administrative duties. 

Parking Citation Premium - Compensation to employees who are rou- 
tinely and consistently assigned to read parking meters and cite drivers 
who have violated parking laws. 

Patrol Premium - Compensation to local police officers, county peace 
officers and school police or security officers who are routinely and con- 
sistently assigned to patrol detail. 

Police Administrative Officer - Compensation to rank and file police 
officers, county peace officers and school poUce or security officers who 
are routinely and consistently assigned to police administration to pro- 
vide support for the police chief and command staff in the operation of 
the police department. 

Police Investigator Premium - Compensation to rank and file local po- 
lice officers, county peace officers and school police or security officers 
who are routinely and consistently assigned to analyze crimes or investi- 
gative accidents. 

Police Liaison Premium - Compensation to rank and file local police 
officers, county peace officers and school police or security officers who 
are routinely and consistently assigned to function as a liaison between 
special persons, groups or courts and the police/sheriff department. 

Police Polygraph Officer - Compensation to local police officers, 
county peace officers and school police or security officers who are rou- 
tinely and consistently assigned to administer and interpret polygraph ex- 
ams. 



Police Records Assignment Premium - Compensation to employees 
who are routinely and consistently assigned to the pohce records divi- 
sion. 

Rangemaster Premium - Compensation to local police officers, 
county peace officers and school police or security officers who are rou- 
tinely and consistently assigned to supervise the target range facilities 
and all related activities. 

Refugee Arrival Cleanup Premium - Compensation to employees 
who are routinely and consistently assigned to cleanup from activities di- 
rectly related to refugee amval flights. 

Safety Officer Training/Coordinator Premium - Compensation to em- 
ployees who are routinely and consistently assigned to instruct personnel 
in safety procedures. 

Sandblasting Premium - Compensation to miscellaneous employees 
who are routinely and consistently assigned to operate sandblasting 
equipment. 

School Yard Premium - Compensation to part-time school district 
employees who are routinely and consistently assigned to supervise stu- 
dents during recreation. 

Search Pay Premium - Compensation to employees who are routinely 
and consistently assigned to search and process prisoners in the induction 
area of jails. 

Severely Disabled Premium - Compensation to school instructional 
aides who are routinely and consistently assigned to work with severely 
disabled students. 

Sewer Crew Premium - Compensation to laborers who are routinely 
and consistently assigned to repair and maintain sewer systems. 

Shift Differential - Compensation to employees who are routinely and 
consistently scheduled to work other than a standard "daytime" shift, e.g. 
graveyard shift, swing shift, shift change, rotating shift, split shift or 
weekends. 

Solo Patrol Premium - Compensation to local police officers, county 
peace officers and school police or security officers who are routinely 
and consistently assigned to patrol alone in vehicles. 

Sprinkler and Backflow Premium - Compensation to groundskeepers 
who are routinely and consistently assigned to repair large sprinkler head 
controllers, valves and backflow prevention devices. 

Tiller Premium - Compensation to local firefighters who are routinely 
and consistently assigned to operate the tiller on an aerial ladder. 

Tire Technician Premium - Compensation to equipment attendants 
who are routinely and consistently assigned to work on heavy duty tires, 
e.g. for buses and large construction equipment. 

Traffic Detail Premium - Compensation to employees who are rou- 
tinely and consistently assigned to direct traffic. 

Training Premium - Compensation to employees who are routinely 
and consistently assigned to train employees. 

Tree Crew Premium - Compensation to maintenance workers who are 
routinely and consistently assigned to remove, prune, or otherwise care 
for trees. 

Utility Meter Premium - Compensation to miscellaneous employees 
who are routinely and consistently assigned to re-read utility meters, re- 
pair or set and install meters. 

Utilities Systems Operation Premium -Compensation to maintenance 
or carpenter employees who are routinely and consistently assigned to 
planner duties in the maintenance division. 

Water Certification Premium - Compensation to miscellaneous em- 
ployees who are routinely and consistently assigned to test local water 
quality for compliance with governmental health standards. 

(5) STATUTORY ITEMS 

Fair Labor Standards Act (FLSA) - Compensation paid for normal 
full-time work schedule including premium pay required by FLSA. For 
example, a firefighter's normal work schedule is 56 hours per week. 
FLSA states premium pay must be paid on all hours worked above 53 
hours per week up to what is considered normal for employees on a full- 
time basis. In this example, the firefighter works 56 hours in a norma] 
work week. Therefore compensation would be reported for 53 hours per 



Page 52.3 



Register 2002, No. 21; 5-24-2002 



§572 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



week and FLSA premium pay would be reported for 3 hours per week. 
Any work performed above 56 hours per week would be considered 
overtime and would not be reported to PERS. 

Holiday Pay - Additional compensation for employees who are nor- 
mally required to work on an approved holiday because they work in po- 
sitions that require scheduled staffing without regard to holidays. If these 
employees are paid over and above their normal monthly rate of pay for 
approved holidays, the additional compensation is holiday pay and re- 
portable to PERS. 

For those employees with written labor agreements providing holiday 
credit and allowing employees to cash out accumulated holiday credit, 
the cash out must be done at least annually and reported in the period 
earned. If a written labor agreement allows an employee to accumulate 
holiday credit beyond the year in which it is earned and an employee later 
elects to cash out accumulated holiday credit, it is not compensation for 
PERS purposes. 

If an employee utilizes the cash out option only during his/her final 
compensation period, it will be considered final settlement pay and ex- 
cluded from reportable compensation. If the cash out option is also uti- 
lized near his/her final compensation period, it may still be excluded 
based upon a review of the contracting agency or school employer's ex- 
perience relating to: the number of employees in the group with tliis op- 
tion; the number of employees who exercise this option; the frequency 
with which employees exercise this option; whether or not the cash out 
is paid periodically, and in a manner that is historically consistent; and 
whether or not the cash out would create an unfunded liability over and 
above PERS' actuarial assumptions. This review will be conducted by 
PERS on a case-by-base basis. 

Uniform Allowance - Compensation paid or the monetary value for 
the purchase, rental and/or maintenance of required clothing, including 
clothing made from specially designed protective fabrics, which is a 
ready substitute for personal attire the employee would otherwise have 
to acquire and maintain. This excludes items that are solely for personal 
health and safety such as protective vests, pistols, bullets, and safety 
shoes. 

(b) The Board has determined that all items of special compensation 
listed in subsection (a) are: 

(1) Contained in a written labor policy or agreement; 

(2) Available to all members in the group or class; 

(3) Part of normally required duties; 

(4) Performed during normal hours of employment; 

(5) Paid periodically as earned; 

(6) Historically consistent with prior payments for the job classifica- 
tion; 

(7) Not paid exclusively in the final compensation period; 

(8) Not final settlement pay; and 

(9) Not creating an unfunded liabihty over and above PERS' actuarial 
assumptions. 

(c) Only items listed in subsection (a) have been affirmatively deter- 
mined to be special compensation. All items of special compensation re- 
ported to PERS will be subject to review for continued conformity with 
all of the standards listed in subsection (b). 

(d) If an items of special compensation is not listed in subsection (a), 
or is out of compliance with any of the standards in subsection (b) as re- 
ported for an individual, then it shall not be used to calculate final com- 
pensation for that individual. 

NOTE; Authority cited: Sections 20636(c)(6) and 20121, Government Code; Cal- 
if. Const. Art. XVI, Section 17. Reference: Sections 20630, 20636 and 20691, 
Government Code. 

Research Note: See Oden v. Public Employees' Retirement System 
(1994) 23 Cal.App.4th 194 [28 Cal.Rptr.2d 388]; City of Sacramento v. 
Public Employees' Retirement System (1991) 237 Cal.App.3d 1470 [280 
Cal.Rptr. 847]; City of Fremont v. Board of Administration (1989) 219 
Cal.App.3d 1026 [263 Cal.Rptr. 164]; Guelfi v. Marin County Em- 
ployees' Retirement Association (1983) 145 Cal.App.3d 297 [193 
Cal.Rptr. 343]; /?os^v. CityofHayward{\9?,\) 126Cal.App.3d926[179 
Cal.Rptr. 287]; Santa Monica P.O. A. v. Bd. of Admin. Public Employees' 



Retirement System (1978) 69 Cal.App.3d 96 [137 Cal.Rptr.771]. 

History 

1 . New section filed 7-5-94 as an emergency; operative 7-3-94 (Register 94, No. 
27). A Certificate of Compliance must be transmitted to OAL by 1 1-2-94 or 
emergency language will be repealed by operation of law on the following day. 

2. Certificate of Compliance as to 7-5-94 order transmitted to OAL 10-28-94; 
disapproved by OAL and order of repeal as to 7-5-94 order filed on 12-14-94 
(Register 94, No. 50). 

3. New section refiled 12-15-94 as an emergency, with amendments; operative 
12-15-94 (Register 94, No. 50). A Certificate of Compliance must be trans- 
mitted to OAL by 4-14-95 or emergency language will be repealed by opera- 
tion of law on the following day. 

4. Certificate of Compliance as to 12-15-94 order including amendments trans- 
mitted to OAL 4-11-95 and filed 5-23-95 (Register 95, No. 21). 

5. Amendment of subsections (a)-(a)(]), new subsections (a)(l)(A)-(F) and 
amendment of Note filed 9-22-99; operative 10-22-99 (Register 99, No. 39). 

6. Amendment of subsection (a)(5) filed 5-22-2002; operafive 6-21-2002 (Reg- 
ister 2002, No. 21). 

§ 572. Employees Not In a Group or Class of Employment. 

An employee who is not in a "group or class of employment" within 
the meaning of the Public Employees' Retirement Law, may request an 
exception from the "average increase" procedure set forth in Section 
20023(e). The local employer may request this exception on the em- 
ployees behalf. 

The request must be submitted in writing, no later than 30 days after 
the employee first received PERS' estimate of benefits payable. If the es- 
timate is mailed, the 30-day deadline is thirty-five calendar days after 
the postmark date. The request must be submitted to the: 

Member Services Division 

Public Employees' Retirement System 

P.O. Box 942704 

Sacramento, CA 94229-2704 

PERS will acknowledge the request in writing, within 15 calendar 
days of its receipt. PERS will grant or deny the request, and specify its 
reasons in writing, within 45 days from the date of acknowledgement. 
PERS' decision to grant or deny the request will be based on a compari- 
son between increased compensafion eamable, as reported for the em- 
ployee during his or her period of final compensation and compensation 
earnable reported for the group or class of employees in his or her same 
membership classification. 

PERS will review the full history of payroll reporting for the em- 
ployee, and all relevant payroll reporting for the membership classifica- 
tion, as to both payrate and special compensation. In no case will an ex- 
ception be granted if PERS determines that the comparative increase in 
compensation eamable by the employee fails to conform with the follow- 
ing standards set forth in subsections (a) and (b) below as well as other 
applicable provisions of the law. 

(a) If reported in payrate, the increased compensation must be: 

(1) Contained in a written labor agreement; 

(2) Part of normally-required duties; 

(3) Performed during normal hours of employment; 

(4) Paid periodically as earned; 

(5) Historically consistent with prior payments for the membership 
classification; and 

(6) Not final settlement pay. 

(b) If reported in special compensation, the increased compensation 
must be: 

(1) Contained in a written labor agreement; 

(2) Part of normally-required duties; 

(3) Performed during normal hours of employment; 

(4) Paid periodically as earned; 

(5) Historically consistent with prior payments for the membership 
classification; 

(6) Listed as special compensation in Section 571; and 

(7) Not final settlement pay. 

(c) Reported increased compensation must not constitute "final settle- 
ment pay" within the meaning of Section 570 and Section 20023 of the 
Government Code. It must conform with federal Internal Revenue Code 



Page 52.4 



Register 2002, No. 21; 5-24-2002 



Title 2 



Public Employees' Retirement System Board 



§ 575.2 



standards in Section 415 for maintaining "qualified plan status" of the 
System, and in Section 401, including the "non-discrimination testing". 
If the request is denied, the employee or employer may appeal PERS' 
decision to the Board by the procedure set forth in Sections 555. 1-555.4, 
and Section 20133 of the Government Code. 

NOTE: Authority cited: Sections 20023(e) and 20120, Government Code. Refer- 
ence: Section 20023, Government Code; IRC Sections 401, 415. 

Research Note: Odcn v. Public Employees' Retirement System (1994) 23 
Cal.App.4th 194 [28 Cal.Rptr.2d 388]; C/A' of Sacramento v. Public Employees' 
/?^r;w7;m/ Sv.v/m (1991) 229 Cal.App.3d 1470 [280 Cal.Rptr. 847]: 5a/;ZaA/o«;- 
ca P.O.A. V. Bd. of Admin. Public Employees' Retirement System (1978) 69 
Cal.App.3d 96 [137 Cal.Rptr. 771]. 

History 

1 . New section filed 7-5-94 as an emergency; operative 7-5-94 (Register 94, No. 
27). A Certificate of Compliance must be transmitted to OAL by 1 1-2-94 or 
emergency language will be repealed by operation of law on the following day. 

2. Certificate of Comphance, including amendment of section heading and text, 
as to 7-5-94 order transmitted to OAL 10-28-94 and filed 12-1 4-94 (Register 
94, No. 50). 

§ 573. Optional Membership. 

Compensation and compensation earnable for members in the option- 
al categories authorized in Section 20322 (referred to hereafter in this 
regulation as "optional members"), must be reported by contracting 
agency and school employers pursuant to the same statutory and regula- 
tory requirements that apply to all other members. 

(a) Specifically, said compensation shall conform to the "group or 
class" requirements that apply to payrate and items of special compensa- 
tion, as shown below: 

(1) Contained in a written labor agreement; 

(2) Part of normally-required duties; 

(3) Performed during normal hours of employment; 

(4) Paid periodically as earned; 

(5) Historically consistent with prior payments for the membership 
classifications; and 

(6) Not final settlement pay. 

(b) For persons who become optional members before July 1 , 1 994 by 
virtue of their position as a "city attorney" or "assistant city attorney" the 
following standards shall also apply: 

(1) If compensation or compensation earnable (whether reported as 
payrate or special compensation) are set forth in a contract for legal ser- 
vices, then that contract shall be the equivalent of a written labor agree- 
ment. 

(2) Compensation and compensation earnable shall be limited to pay- 
ment for work performed by the optional member in his or her individual 
capacity as the city attorney or assistant city attorney, and shall not in- 
clude payment for work performed by other persons (e.g., partner, 
associate, consultant) in the office of city attorney or a law firm that pro- 
vides the services of a city attorney. 

NOTE: Authority cited: Sections 20636 and 20121, Government Code. Reference: 
Sections 20322, 20630 and 20636, Government Code. 

History 
1. New section filed 9-22-99; operative 10-22-99 (Register 99, No. 39). 



Article 5. Member Contributions 



§ 575. Refund of Additional Contributions. 

Contributions made by a member pursuant to Section 20630, Govern- 
ment Code, in excess of normal contributions, shall be refunded on writ- 
ten application filed in the office of the board at any time; provided, how- 
ever, that such refund may not be made within one year following the date 
of any previous refund of additional contributions, and provided further 
that a partial refund shall not be made. Such refund may be authorized 
by the board notwithstanding the limitations herein with respect to the 
date of previous refund upon a showing of good cause therefor. 

NOTE: Authority cited: Section 20120, Government Code. Reference: Section 
20630, Government Code. 



History 

I . Amendment filed 1-30-80; effective thirtieth day thereafter (Register 80, No. 

5). 

§ 575.1 . Deposit of Contributions. 

Any deposit of contributions for, but not limited to, service credit elec- 
tions, except those made pursuant to Government Code section 21073.1, 
to be made in installments, must be made by payroll deduction upon such 
installment plan as may be elected, subject to the following conditions: 

(a) Installments must be uniform for each payroll period; 

(b) The installments may not be less than $15.00 per month (or the se- 
mi-monthly, bi-weekly or quadri-weekly equivalent); and 

(c) The number of installments may not exceed 180 monthly (or the 
semi-monthly, bi-weekly or quadri-weekly equivalent) payroll periods. 

(d) Interest on the unpaid balance of the amount payable to the Public 
Employees' Retirement Fund, except as provided in subsections (e) and 
(f), shall accrue at the member interest crediting rate provided in section 
20178 on the effective date of the member's election or contribution ad- 
justment. 

(e) Interest on the unpaid balance of the amount payable to the Public 
Employees' Retirement Fund for a meinber's election to receive service 
credit subject to section 21052 shall accrue at the actuarial interest rate 
used in the calculation of the benefit liability. 

(f) Interest on the unpaid balance of the amount payable to the Judges' 
Retirement Fund or the Judges' Retirement Fund II for a judge's election 
to receive service credit, pursuant to section 75030.8 or 75506.5, shall ac- 
crue at the actuarial interest rate used in the calculation of the benefit li- 
ability. 

For purposes of this section, the applicable interest rate provided in 
subsections (d), (e), and (f) shall be applied from the effective date of the 
service credit election or contribution adjustment through the completion 
of payments. 

An installment plan elected by a member or judge may be modified to 
extend the period of payment upon the Board's finding that the existing 
plan is effecting a hardship for the member or judge provided, however, 
that the plan as extended does not result in a total number of deductions, 
including the number already paid, exceeding the maximum permitted 
under this section and otherwise complies with this section. 
NOTE: Authority cited: Sections 20120 and 20121, Government Code. Reference: 
Sections 20750 and 21050, Government Code. 

HtSTORY 

1. New section filed 2-16-72; designated effective 4-1-72 (Register 72, No. 8). 

2. Amendment of section and Note filed 5-8-2000; operative 6-7-2000 (Register 
2000, No. 19). 

3. Amendment of section and Note filed 7-6-2006; operative 8-5-2006 (Register 
2006, No. 27). 

§ 575.2. Deposit of Contributions Pursuant to Government 
Code Section 21073.1. 

Any deposit of contributions for a member service credit election pur- 
suant to Government Code section 21073.1, to be made in installments, 
must be made by payroll deduction upon such installment plan as may 
be elected by the member, subject to the following conditions: 

(a) Installments must be uniform for each payroll period; 

(b) The installments may not be less than $15.00 per month (or the 
semi-monthly, bi-weekly or quadri-weekly equivalent); and 

(c) The number of installments may not exceed 180 monthly (or the 
semi-monthly, bi-weekly or quadri-weekly equivalent) payroll periods. 

(d) Interest on the unpaid balance of the amount payable to the Public 
Employees' Retirement Fund shall accrue at the member interest credit- 
ing rate provided in section 20178 on the effective date of the member's 
election. 

For purposes of this section, the interest rate provided in subsection (d) 
shall be applied from the effective date of the member's election through 
the completion of payments. 

An installment plan adopted by a member may be modified to extend 
the period of payment upon the Board's finding that the existing plan is 
effecting a hardship for the member provided, however, that the plan as 
extended does not result in a total number of deductions, including the 



Page 52.5 



Register 2006, No. 27; 7-7-2006 



§576 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



number already paid, exceeding the maximum permitted under this sec- 
tion and otherwise complies with this section. 

NOTE: Authority cited: Sections 20120, 20121 and 21073.1, Government Code. 
Reltrence: Section 21073.1, Government Code. 

History 

1. New section filed 5-4-2000; operative 5-4-2000 pursuant to Government 
Code section 1 1343.4(d). Exempt froin OAL review pursuant to Government 
Code section 21073.1 (Register 2000, No. 18). 

2. Amendment of introductory paragraph, new subsection (d) and new penulti- 
mate paragraph filed 7-6-2006; operative 8-5-2006 (Register 2006, No. 27). 

§ 576. Additional Contributions by Employer. 

(a) An employer's election, pursuant to Section 20630, Government 
Code, to make additional contributions, shall be made by filing with the 
Board a copy of formal action taken by the employer's governing body. 
Such election shall be effective with respect to payroll periods beginning 
on and after the date specified by the governing body but no earlier than 
the 30th day following filing in the office of the Board. 

(b) An employer's election to make such additional contributions is 
subject to the following conditions: 

( 1 ) Such additional contributions must be separately identified and re- 
ported to the Board on the regular payroll reports of the employer each 
time a payment is made. 

(2) The employer shall provide each affected employee with an annual 
and accumulative statement of the specific amounts contributed by the 
employer to that employee's additional contribution account. 

NOTE: Authority cited: Sections 20120-20124. Government Code. Reference: 
Sections 20107, 20630, 21382.5 and 21364.2, Government Code. 

History 

1. New section filed 2-26-75; effective thirtieth day thereafter (Register 75, No. 
9). 

2. Amendment of subsection (b) filed 6-18-76: effective thirtieth day thereafter 
(Register 76, No. 25). 



Article 6. Service Credit 

(No Rules Filed) 



Article 7. Benefits 

§ 580. Dependency. 

A person is receiving at least one-half of his support from a member 
if the member is making regular contributions in cash or kind to such sup- 
port to the extent of one-half or more thereof 

(a) "Support," includes food, shelter, clothing, ordinary medical ex- 
penses, and other ordinary and customary items of maintenance of the 
persons supported at the standard of living in the occupation or employ- 
ment engaged in by the person supported while he was employable. In 
determining support at the time of death, consideration may be given to 
support during the year preceding death. To the extent that the person 
supported and other persons derive support from a common fund or re- 
ceive a common item of support and expenditures cannot be identified 
as to person and disproportionate support requirements are not shown, 
the person's support shall be established by equal proration of the total 
expenditures between the persons. 

(b) A contribution made to a fund to which several persons contribute 
and from which several members of a family derive common support will 
be presumed made to the support of each person deriving support from 
the fund in the proportion of such contribution to the total contribution. 
Community funds of a member and a member's spouse contributed to the 
support of the member's parent or parents will be considered a contribu- 
tion by the member to a maximum of the amount of community funds or 
property considered the property of the member under this rule. 

(c) Any person claiming a benefit as a dependent parent shall file an 
affidavit or statement under penalty of perjury concerning the income 
and support in such form or forms and in such detail as may be required 
by the Executive Officer. 



NOTE; Authority cited: Section 20120, Govemment Code. Reference: Sections 
20041, 21263, 21263.4, and 21382.2. Governmeni Code. 

History 

1. Amendment filed 8-5-76; effective thirtieth day thereafter (Reaister 76, No. 
32). 

2. Editorial correction of Reference cite (Register 95. No. 5). 

§ 580.1. Full-Time Student — Educational Institution. 

For purposes of any benefit payable to or because of a child who is a 
full-time student, a full-time student is one who is in full-time atten- 
dance at an educational institution if he is carrying a subject load which 
is considered full time for day students under the standards and practices 
of the educational institution. However, a student will not be considered 
in full-time attendance if: 

A. He is enrolled in a junior college, college, or university in a course 
of study of less than 13 school weeks' duration; or 

B. He is enrolled in any other educational institution and either the 
course of study is less than 13 school weeks' duration or his scheduled 
attendance is at the rate of less than 20 hours a week. 

A high school, trade or vocational school, junior college, college or 
university is an "educational institution" if 

(a) It is operated or directly supported by the United States, by a State 
or local govemment or a political subdivision thereof; or 

(b) It has been approved by a State, or accredited by a State-recog- 
nized or nationally-recognized accrediting agency; as determined by the 
Executive Officer. 

This definition includes both public and private schools which meet 
the requirements of (a) or (b) above. 

Survivor benefits will be reduced or discontinued effective the month 
following loss of student status as determined under forms and proce- 
dures established by the Executive Officer. 

NOTE: Authority cited: Sections 20120-20124, Gov. Code. Reference: Section 
21382.5, Gov. Code. 

History 

1 . New Section filed 10-22-69 as an emergency; designated effective 1 1-10-69 
(Register 69, No. 43). 

2. Certificate of Compliance— Section 1 1422.1, Gov. Code, filed 12-30-69 (Reg- 
ister 70, No. 1). 

3. Amendment filed 2-26-75; effective thirtieth day thereafter (Register 75, No. 
9). 

§ 581 . Retirement Allowance Deductions. 

(a) Approval of Group Insurance Plans. 

Any contracting agency under the P*ublic Employees' Retirement Sys- 
tem having an insurance plan for its active and retired employees or re- 
tired employees or any association composed of employees and persons 
retired under the Public Employees' Retirement System, or of such re- 
tired persons having an insurance plan for its membership, may submit 
such plan to the board for approval. 

(1) Eligibility. 

Any person retired under the Public Employees' Retirement System 
and any beneficiary under the system who is ehgible for coverage under 
an insurance plan approved by the board, may authorize, pursuant to 
these rules, deductions to be made from monthly payments of his retire- 
ment allowance or benefit for payment of premiums, dues, or charges un- 
der such plan. 

(2) Forms and Procedures. 

The executive officer shall prescribe, subject to these rules, proce- 
dures and forms for the filing of authorizations. 

(3)PlaceofFihng. 

Authorization shall be filed in the office of the board provided, howev- 
er, that the executive officer may prescribe in the alternative, filing with 
the insurer or nonprofit membership corporation issuing the insurance 
plan, if such insurer or corporation has undertaken in a writing filed with 
the board to: 

(A) Supply to the board statements of deductions as specified in autho- 
rizations received by it and to save the State, the board and its employees 
harmless from liability for any errors in withholding or transmitting de- 
ductions except for moneys actually withheld but not transmitted. 



Page 52.6 



Register 2006, No. 27; 7-7-2006 



Title 2 



Public Employees' Retirement System Board 



§581 



(B) Keep all authorizations received by it available for inspection by 
authorized representatives of the board. 

(4) Time of Filing. 

Authorizations may be made effective only with regard to retirement 
allowance payments and premiums, dues or charges becoming due more 
than 30 days after the date of receipt in the office of the board of the autho- 
rization, or, where the alternative procedure under these rules is pre- 
scribed by the executive officer, of the insurer's or nonprofit membership 
corporation's statement of authorized deductions. 

(5) Authorization Changes. 

Deductions may be changed in amount or terminated in the manner 
provided for filing of authorizations and may be made effective only as 
to retirement allowances payable more than 30 days after notice is re- 
ceived in the office of the board. 



(6) Refunds. 

Any amounts which have been deducted and paid to an insurer or non- 
profit membership corporation and which are refundable under the insur- 
ance plan because of death of the retired person, shall be refunded to the 
board for distribution under the Public Employees' Retirement Law. 

(b) Forms and Procedures for Deductions of National Service Life In- 
surance. 

The executive officer shall provide forms and procedures for authori- 
zation by persons retired under the Public Employees' Retirement Sys- 
tem of deductions from retirement allowances for payment of premiums 
on National Service Life Insurance or United States Government Con- 
verted Insurance. 

(1) Time and Place of Filing. 



• 



[The next page is 52.7.] 



• 



Page 52.6(a) 



Register 2006, No. 27; 7-7-2006 



Title 2 



Public Employees' Retirement System Board 



§583 



Authorizations under this article shall be filed in the office of the board 
and may be given effect only as to retirement allowances payable and 
premiums becoming due more than 30 days after receipt of the authoriza- 
tion in the office of the board. 

(c) Deduction of Employee Association Dues or Credit Union Pay- 
ments or Shares. 

(1) Eligibility and Conditions. 

A retired person who was a state member and who is a member of any 
bona fide association comprised principally of employees and former 
employees of agencies of the State of California may authorize monthly 
deduction of dues of such Association, or any retired member or benefi- 
ciary who is a member of a credit union may authorize monthly deduc- 
tions for payments or shares to credit unions from his retirement allow- 
ance subject to the following conditions: 

(A) The Association or credit union has filed with the Public Em- 
ployees' Retirement System a written request for such deduction in ac- 
cordance with this subsection, and the executive officer finds in connec- 
tion with such request that there is compliance with this subsection. 

(B) The retired person's written authorization for deduction is filed 
with the Association or credit union. 

(C) The Association or credit union will keep all authorizations re- 
ceived by it available for inspection by an authorized representative of 
the Board. 

(D) The Association or credit union has filed an agreement which 
holds the Retirement System harmless from any liability except for dues 
or payments actually withheld but not transmitted. 

(E) Any dues or payments deducted in error shall be offset, or refunded 
to the Board for distribution in accordance with the Public Employees' 
Retirement Law. 

(F) The allowance of the retired person continues sufficient in amount 
to permit such deductions after giving effect to requests for income tax 
deductions and medical-hospital and life insurance premiums. 

(2) Forms and Procedures. 

The executive officer shall prescribe, subject to these rules, proce- 
dures and forms for the implementation of this subsection. 

(3) Cost Reimbursement. 

The executive officer shall determine the administrative costs from 
time to time for processing and making such deductions and is authorized 
to collect such charges by either a withholding from amounts deducted 
for the Association or credit union or by a direct billing. 

(4) Time and Place of Filing. 

(A) Authorizations for deductions under this section may be made ef- 
fective only with regard to retirement allowances payable more than 30 
days after receipt in the office of the Board in Sacramento of the Notice 
of Authorization. No retroactive deductions will be taken. 

(B) Deductions may be changed in amount or terminated in the manner 
provided for filing Notices of Authorization and may be made effective 
only as to retirement allowances payable more than 30 days after notice 
is received in the Sacramento office of the Board. 

NOTE; Authority cited: Section 20120, Government Code. Reference: Section 
20135, Government Code. 

History 
1. Amendment of subsection (c) filed 2-3-78; effective thirtieth day thereafter 
(Register 78, No. 4). For prior history, see Register 70, No. 16. 



§ 582. Beneficiary Designations. 

A member may designate as beneficiary to receive any benefit payable 
to a member' s designated beneficiary upon death before or after retire- 
ment, any person or persons, including a corporation; provided, howev- 
er, that a beneficiary designated to receive payments under an optional 
settlement based on life contingency may be only a natural person. The 
designation must be in writing, except as otherwise provided in this sec- 
tion, must give the name of the person and his address, and must be filed 
in the office of the board in Sacramento, California. The right of a benefi- 
ciary to receive payment of a benefit is contingent on his survival at the 
time of the member' s death, and the member may designate a beneficiary 



or beneficiaries on the contingency that the first beneficiary does not so 
qualify. 

A member may, subject to the conditions set forth in tliis paragraph, 
designate as beneficiaries or contingent beneficiaries, other than a bene- 
ficiary to receive payment under an optional settlement based on life con- 
tingency of the beneficiary, his children or his grandchildren by class 
rather than by naming the individuals as otherwise required in this sec- 
tion. For purposes of such designation, "children" shall mean natural or 
adopted children and "grandchildren " shall mean natural or adopted 
children of the member's "children," and shall include such children or 
grandchildren in being at the time of the member's death or who are con- 
ceived before the member's death and born thereafter. Payments of a 
benefit by the system on the basis of a determination in good faith of the 
existence and identity of the members of a class so designated shall con- 
stitute a complete discharge and release of the system from further liabil- 
ity for the benefit, notwithstanding that it may not have discovered a 
beneficiary otherwise entitled. 

NOTE; Authority cited: Section 20120, Government Code. Reference: Sections 
20303, 20037, 21204 and 21205, Government Code. 

History 

1. New section filed 12-1 5-6] ; effective thirtieth day thereafter (Register 61, No. 
25). 

2. Amendment filed 12-13-66; effective thirtieth day thereafter (Register 66, No. 

44). 

§ 583. Election of Survivor Coverage. 

An election of 1959 survivor allowance coverage as provided for by 
Section 21385 of the Government Code shall be subject to the following 
conditions: 

(1 ) Notice of right to elect 1959 survivor coverage shall be provided 
by the System to contracting agencies subject to Chapter 9, Article 6 of 
the Government Code. It shall be the contracting agency's responsibility 
to notify eligible members of their right to elect hereunder. 

(2) Eligible members who are employees of a contracting agency on 
the date such agency becomes subject to Government Code Section 
21385 shall have the right to elect 1959 survivor allowance coverage. 
Such election must be made prior to or within 30 days of the effective date 
of the contracting agency's amendment to become subject to Section 
21385. 

(3) Members who are employees of a contracting agency on the date 
such agency becomes subject to Government Code Section 21385, and 
who elected not to be covered during the initial election period, shall have 
a second right of election within a three-month period beginning nine 
months following the effective date of the agency's contract for such cov- 
erage. 

(4) To be valid, elections may be made only by the member personally 
in writing in the format prescribed by the Executive Officer and must be 
received at an office of the Board within the prescribed time periods. A 
member's failure to submit a valid election will be deemed an election 
to not be covered by the 1959 survivor allowance. 

(5) A contracting agency's election to be subject to Government Code 
Section 21382.2 in lieu of Government Code Section 21382 shall not 
create a new right of election by employees of that agency. 

(6) A member's effective date of coverage shall be (a) the date a valid 
election is received by the Board, during the first election period; or (b) 
the date which is one year following the effective date of the agency's 
contract for such coverage with respect to valid elections during the sec- 
ond election period; or (c) the date of membership for members entering 
employment after the date of the agency's contract for such coverage. 

(7) Contributions for a member so electing shall begin in the pay peri- 
od during which coverage becomes effective. 

Note: Authority cited: Sections 20120-20124 and 21385, Government Code. 
Reference: Section 21385, Government Code. 

History 

1. New section filed 10-22-69 as an emergency; designated effective 11-10-69 
(Register 69, No. 43). 

2. Certificate of Compliance— Section 1 1422.1 , Gov. Code, filed 12-30-69 (Reg- 
ister 70, No. 1). 



Page 52.7 



Register 2004, No. 34; 8-20-2004 



§585 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



3. Amendment filed 4-30-74 as an emergency; effective upon filins (Reeister 74, 
No. 18). 

4. Amendment filed 9-6-74; effective thirtieth day thereafter (Register 74, No. 
36). 

5. Repealer and new section filed 6-1 1-82; effective thirtieth day thereafter (Reg- 
ister 82, No. 24). 



§ 585. Retirement Optional Settlement 4. 

(a) For purposes of any request for a new form of optional settlement 
4 subject to the approval of the board, the request must comply with ap- 
plicable federal and state requirements and the following administrative 
requirements. If staff determines a request for a new option 4 allowance 
type should be denied based upon administrative criteria, stall will bring 
the request before the board to either approve or deny the request. 

(1) There is no existing option or option 4 type that could be used to 
accomplish substantially the saine results. 

(2) Each beneficiary would receive a minimum of 25% of the mem- 
ber's monthly allowance. This minimum would not apply in the case of 
a community property interest. 

(3) Each beneficiary is alive and named at the time of the designation. 

(4) Upon the death of a beneficiary, there would be no continuing al- 
lowance to a secondary or contingent beneficiary. 

(5) Any proposed change in future allowance payment to the retired 
annuitant or named beneficiary is based upon an easily identifiable event, 
such as a specified date or death of the retired annuitant. 

(6) The requested annuity is a combination of life annuities, joint life 
annuities (on no more than two lives), a temporary life annuity, an annu- 
ity certain, or lump sums payable upon the death of the member or a bene- 
ficiary. 

(7) The total of all lump sums payable upon death cannot exceed the 
amount of the member's contributions with interest at the time of retire- 
ment. 

(8) The total amount (excluding lump sums payable upon death) pay- 
able in any month cannot exceed three times the amount that would have 
been payable for that month if the member had elected an unreduced al- 
lowance and was alive in the month. 

(9) It is reasonable to expect that at least 100 members will elect the 
option within two years of the date that the option first becomes available. 

(b) The Board may, in its discretion, establish a review period for any 
approved option 4 allowance type to monitor conformity with the stan- 
dards in subsection (a) and may, on a prospective basis, terminate any 
current or added option 4 allowance type in subsection (c) that does not 
conform to those standards. 

(c) The following alternative forms of option 4 allowance have been 
approved by the Board. However, the amount to be paid to the beneficia- 
ry cannot be more than what the member could provide the beneficiary 
under option 2W. 

(1) "Specific Dollar Amount to a Beneficiary" 

The member may specify that upon his or her death after retirement, 
a monthly allowance in an amount determined by the member be paid to 
a named beneficiary for life. 

(2) "Specific Percentage to a Beneficiary" 

The member may specify that upon his or her death after retirement, 
a monthly allowance in an amount equivalent to a specified percentage 
of the member's unmodified allowance be paid to a named beneficiary 
for life. Or, a member may specify that upon the death of either the mem- 
ber or named beneficiary, the survivor would receive a certain percentage 
of the member's unmodified allowance. 

(3) "Option 2W and Option 1 Combined" 

The member may specify the same monthly allowance the member is 
receiving continue to be paid to his or her named beneficiary upon the 
member's death and that upon the subsequent death of the named benefi- 
ciary, any member contributions not used to fund the allowance be paid 
in a lump sum to a secondary beneficiary or beneficiaries. 

(4) "Reduced Allowance for Fixed Period of Time" 



The member may specify a percentage of his or her unmodified allow- 
ance to be received for a fixed period of fime immediately following re- 
tirement. At the end of the specified period, the member begins to receive 
an increased allowance that is the actuarial equivalent of his or her re- 
maining benefit. The allowance may be based on the member's life alone 
or on the joint hfetimes of the member and a named beneficiary. 

(5) "Multiple Lifetime Beneficiaries" 

The member may name more than one beneficiary to receive a lifetime 
monthly allowance following the death of the member after refirement. 

(6) "OpUon 3W and Option 1 Combined" 

The member may specify that one-half of the monthly allowance the 
member is receiving continue to be paid to his or her named beneficiary 
upon the member's death and that upon the subsequent death of the 
named beneficiary, any member contributions not used to fund the allow- 
ance be paid in a lump sum to a secondary beneficiary or beneficiaries. 

(7) "Reduction upon Death of Retiree or Named Beneficiary" 

The member may specify a minimal reduction of at least one dollar to 
the unmodified allowance to provide the highest allowance possible 
wliile both the member and beneficiary are living. Upon the death of ei- 
ther of them, the continuing allowance will be significantly reduced for 
the survivor. 

NoTE: Authority cited: Sections 20121 and 21458, Government Code. Reference: 
Section 21458, Government Code. 

History 
1. New section filed 4-26-2004; operative 5-26-2004 (Register 2004, No. 18). 

Article 7.5. Normal Retirement Age and 
Bona Fide Separation in Service 

§ 586. Purpose. 

The purpose of this Article is to ensure the federal tax-qualified status 
of the Public Employees' Refirement System by prohibiting in-service 
distributions to the extent required by the Internal Revenue Code, and the 
regulations promulgated thereunder. In the event the applicable federal 
law changes, the federal law shall supercede these regulations. 
NOTE: Authority cited: Sections 20121 and 21220.5, Government Code. Refer- 
ence: Section 21220.5, Government Code. 

History 
1. New article 7.5 (sections 586-586.2) and section filed 8-20-2004; operative 

9-19-2004 (Register 2004, No. 34). 

§ 586.1. Normal Retirement Age. 

(a) The normal retirement age of a member shall be the later of: 

(1) the age when the member is first eligible to retire pursuant to Ar- 
ficle 1 through Arficle 5 of Chapter 12, Part 3, Division 5 of Title 2 of the 
Government Code; or 

(2) the highest specified age applicable to the member in the benefit 
formula, where the highest specified age is defined as: 

(A) 65 if the member is enfitled to benefits under Government Code 
sections 20176 or 21100; 

(B) 60 if the member is entitled to benefits under Government Code 
secdons 21353 or 21354.3; 

(C) 55 if the member is entitled to benefits under Government Code 
sections 21354, 21354.1, 21354.5, 21363, 21363.1, 21366, 21369, or 
21369.1; and 

(D) 50 if the member is entitled to benefits under Government Code 
sections 21362, 21362.2, 21363.3, 21363.4 or 21363.8. 

(b) In the event an existing benefit formula is modified or a new benefit 
formula is enacted, the chief actuary may determine the normal refire- 
ment age until such time that the regulations may be amended. 
NOTE: Authority cited: Sections 20121 and 21220.5, Government Code. Refer- 
ence: Secfion 21220.5, Government Code. 

History 

1 . New section filed 8-20-2004; operative 9-19-2004 (Register 2004, No. 34). 

§ 586.2. Bona Fide Separation in Service. 

(a) For purposes of working for a CalPERS-covered employer after 
retirement pursuant to Article 8, of Chapter 12, Part 3, Division 5 of Title 



• 



• 



Page 52.8 



Register 2004, No. 34; 8-20-2004 



Title 2 



Public Employees' Retirement System Board 



§ 588.8 



2 of the Government Code, a member who has not attained normal retire- 
ment age shall have a bona fide separation in service. A bona fide separa- 
tion in service is defined as: 

(1 ) no predetermined agreement between the employer and the mem- 
ber prior to retirement to return to work for the employer after retirement; 
and 

(2) a separation in service of at least 60 calendar days between the date 
of the member's retirement and the first day of work for the employer as 
a retired person. The 60 days shall commence on the day after retirement. 

(b) Any retired person employed in violation of this regulation shall 
be subject to the consequences provided in Government Code section 
21220." 

(c) In the event an emergency has been declared as provided in Gov- 
ernment Code Section 8558 that requires the employment of a retired per- 
son, the 60 calendar day separation in service requirement set forth in 
subdivision (a)(2) of this regulation shall not apply. 

NOTE: Authority cited: Sections 20121 and 21220.5, Government Code. Refer- 
ence: Section 21220.5, Government Code. 

History 
1. New section filed 8-20-2004; operative 9-19-2004 (Register 2004, No. 34). 



Article 7.6. Participation in Risk Pools 

§ 588. Risk Pools — Definitions. 

(a) For purposes of this Article, a "Rate Plan" consists of all CalPERS 
members for which a single employer contribution rate is produced annu- 
ally. 

(b) For purposes of this Article, a "Side Fund" shall be the difference 
between the acaiarial value of assets and the actuarial liabilities of the 
rate plan at the time of joining a risk pool. 

Note: Authority cited: Sections 20120, 20121 and 20840, Government Code. 
Reference: Section 20840, Government Code. 

History 
1. New article 7.6 (sections 588-588.10) and section filed 9-23-2004; operative 

9-23-2004 pursuant to Government Code section 11343.4 (Register 2004. No. 

39). 

§ 588.1 . Risk Pools — Required Participation for Existing 
Contracting Agencies. 

Following the creation of risk pools pursuant to Section 20840 of the 
Government Code, any existing contracting agency with a rate plan of 
less than 100 active members on any annual actuarial valuadon date shall 
be required to participate in a risk pool. Participation shall be effective 
as of that valuation date for all members of that rate plan, but no earlier 
than the June 30, 2003 actuarial valuation which will be used to set em- 
ployer contribufion rates for fiscal year 2005-2006. 
Note; Authority cited: Sections 20120, 20121 and 20840, Government Code. 
Reference: Section 20840, Government Code. 

History 

1. New section filed 9-23-2004; operative 9-23-2004 pursuant to Government 
Code section 1 1343.4 (Register 2004, No. 39). 

§ 588.2. Risk Pools — Required Participation for New 
Contracting Agencies. 

A new contracting agency with CalPERS following the creation of risk 
pools shall be required to participate in a risk pool if the number of active 
members in the rate plan is less than 100 at the time of the initial actuarial 
valuation. 

NOTE: Authority cited: Sections 20120, 20121 and 20840, Government Code. 
Reference: Section 20840, Government Code. 

History 
1. New section filed 9-23-2004; operative 9-23-2004 pursuant to Government 

Code section 11343.4 (Register 2004, No. 39). 

§ 588.3. Risk Pools —Optional Participation. 

A contracfing agency with 100 or more acfive members on each annual 
valuation date after June 30, 2003 may, by amendment to its contract, 
participate in a risk pool provided that the actuary determines such pardc- 
ipation will not be unfavorable to other agencies in the pool. In the event 



that such participation would be unfavorable, the matter may be referred 
to the CalPERS Board for a hearing. 

Note: Authority cited: Secfions 20120, 20121 and 20840, Government Code. 
Reference: Section 20840, Government Code. 

History 
1. New section filed 9-23-2004; operative 9-23-2004 pursuant to Government 
Code section 1 1343.4 (Register 2004, No. 39). 

§ 588.4. Risk Pools — County Offices of Education, School 
Districts and Community College Districts. 

Notwithstanding Secfion 588.1, county offices of education, school 
districts and community college districts shall not be required to partici- 
pate in a risk pool. County offices of educafion, school districts and com- 
munity college districts shall only be allowed to establish a contract with 
CalPERS to participate in a risk pool if the service reUrement formula of 
the risk pool provides higher factors at all ages than the service retirement 
formula applicable to school members. 

NOTE: Authority cited: Sections 20120, 20121 and 20840, Government Code. 
Reference: Section 20840, Government Code. 

History 
1. New secfion filed 9-23-2004; operafive 9-23-2004 pursuant to Government 
Code section 11343.4 (Register 2004, No. 39). 

§ 588.5. Risk Pools — Amortization of Side Funds. 

The side fund shall be amortized at the acaiarially assumed investment 

return. All investment gains and losses on the side fund that exceed or fall 

below the actuarially assumed investment return shall be attributed to the 

risk pool. 

NOTE: Authority cited: Sections 20120, 20121 and 20840, Government Code. 
Reference: Section 20840, Government Code. 

History 

1. New section filed 9-23-2004; operative 9-23-2004 pursuant to Government 
Code secfion 11343.4 (Register 2004, No. 39). 

§ 588.6. Risk Pools — Assignment to Risk Pools. 

A rate plan participating in a risk pool shall be assigned to one of the 
risk pools based on the service retirement formula applicable to its active 
members. 

NOTE: Authority cited: Sections 20120, 20121 and 20840, Government Code. 
Reference: Secfion 20840, Government Code. 

History 
1. New section filed 9-23-2004; operafive 9-23-2004 pursuant to Government 

Code section 1 1343.4 (Register 2004, No. 39). 

§ 588.7. Risk Pools — Leaving and Transferring Between 
Risk Pools. 

Any contracting agency parficipating in a risk pool shall be allowed 
to transfer the assets and actuarial liabilities of its rate plan into another 
risk pool by contracting for a service retirement formula offered by the 
other risk pool. For this purpose, the assets to be transferred shall be the 
pro-rata share of the current pool's net assets (net of all side funds) plus 
the rate plan's remaining side fund, as determined by the actuary. Follow- 
ing the transfer to the new pool, a new side fund shall be established equal 
to the difference between the assets brought into the new pool and the 
product of the actuarial liabilifies of the rate plan under the new service 
retirement formula and the net funded ratio of the new pool as determined 
by the actuary. A contracfing agency shall not be allowed to terminate its 
parficipafion in a risk pool, unless the agency's contract is terminated 
pursuant to Sections 20570, 20571, or 20572 of the Government Code. 
Upon terminafion of the contract, the affected members shall become 
part of the terminated agency pool pursuant to Section 20578 of the Gov- 
ernment Code. 

NOTE: Authority cited: Sections 20120, 20121 and 20840, Government Code. 
Reference: Secfion 20840, Government Code. 

History 
1. New section filed 9-23-2004; operafive 9-23-2004 pursuant to Government 
Code section 11343.4 (Register 2004, No. 39). 

§ 588.8. Risk Pools — Classification of Benefit Provisions. 

The CalPERS Board shall separate the benefit provisions available to 
a contracting agency into various classificafions. These classificafions 
will be handled as follows: 



Page 52.8(a) 



Register 2004, No. 39; 9-24-2004 



§ 588.9 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



(a) Class I benefits may vary by rate plan within each risk pool. Agen- 
cies contracting for a Class 1 benefit will be responsible for the past ser- 
vice liability associated with such benefit and will be required to pay a 
surcharge established by the actuary to cover the ongoing cost (normal 
cost) of the Class 1 benefit. Class 1 benefits shall be the optional benefits 
meeting the following criteria: 

(i) Impact the ongoing cost (either total or employer normal cost) of 
the risk pool by more than 0.25% of payroll; or 

(ii) The benefit is not available to all plans participating in the risk 
pool. 

(b) Class 2 benefits may vary by rate plan within each risk pool. Agen- 
cies contracting for a Class 2 benefit will be required to pay the full one 
time cost of the benefit, as established by the actuary. Class 2 benefits 
shall be the optional benefits, other than Class 1 benefits, meeting the fol- 
lowing criteria: 

(i) No impact on the ongoing cost (normal cost) of the risk pool; and 
(ii) Provide a one time increase in benefit with an identifiable increase 
in accrued liabilities. 

(c) Class 3 benefits may vary by rate plan within each risk pool. How- 
ever, the employer contribution rate will not vary within the risk pool due 
to the Class 3 benefits. Class 3 benefits shall be the optional benefits 
meeting the following criteria: 

(i) Impact the ongoing (normal cost) of the risk pool by no more than 
0.25% of pay roll 

NOTE: Authority cited: Sections 20120, 20121 and 20840, Government Code. 
Reference: Section 20840, Government Code. 

History 
1. New section filed 9-23-2004; operative 9-23-2004 pursuant to Government 

Code section 1 1343.4 (Register 2004, No. 39). 

§ 588.9. Risk Pools — Merger of Risk Pools. 

In the event that the number of contracting agencies participating in 
a risk pool is determined by the actuary to be too small to reduce the vola- 
tility in employer contribution rates caused by unexpected demographic 
events, the risk pool will be merged with another risk pool identified by 
the actuary. 

NOTE: Authority cited: Sections 20120, 20121 and 20840, Government Code. 
Reference: Section 20840, Government Code. 

History 

1. New section filed 9-23-2004; operative 9-23-2004 pursuant to Government 
Code section 11343.4 (Register 2004, No. 39). 

§ 588.1 0. Risk Pools — Superf unded Status. 

For employers participating in a risk pool, the actuary shall determine 
on an annual basis whether or not the employer' s rate plan is superfunded 
pursuant to Section 20816 of the Government Code. In determining 
whether the rate plan is superfunded, the actuary shall use assets equal 
to the pro-rata share of the current pool's net assets plus the plan's re- 
maining side fund. Superfunded plans may cover its employees' normal 
member contributions using its employer assets. Such transaction will be 
tracked through the rate plan's individual side fund. 
NOTE: Authority cited: Sections 20120, 20121 and 20840, Government Code. 
Reference: Section 20840, Government Code. 

History 
1. New section filed 9-23-2004; operative 9-23-2004 pursuant to Government 

Code section 11343.4 (Register 2004, No. 39). 



Article 8. Replacement Benefits Plan 

§ 589. Establishment and Status of Plan. 

(a) Establishment. 

(1) There is hereby established and adopted a retirement plan entitled 
the California Public Employees' Retirement System Replacement 
Benefits Plan (the "Plan") to restore the annual retirement benefits other- 
wise earned by Members of CalPERS but which are limited by the rules 
of Section 415 of the Internal Revenue Code of 1986, as amended ("Tax 
Code"). CalPERS is a tax qualified plan under Section 401(a) of the Tax 



Code and is a governmental plan as defined in Section 414(d) of the Tax 
Code. 

(2) This Plan is established pursuant to the provisions of Section 
401 (m) of the Tax Code and Section 21757 of the Government Code. 
This Plan constitutes the regulations that implement Part 3.4 of the Gov- 
ernment Code, as provided in Section 21760 thereof. 

(3) The state, each school employer, and each contracting agency is 
deemed to have elected to contract with the Board of CalPERS for admin- 
istration of this Plan, pursuant to Government Code Section 21761 . 

(b) Effective Date. 

(1 ) This Plan shall be effective as of January 1 , 1999, and benefits shall 
be payable from this Plan on and after that date. 

(2) Benefits shall be paid to CalPERS Members with respect to periods 
beginning on and after the Effective Date for which their CalPERS bene- 
fits are Hmited by Section 415. 

(3) In addition, benefits with respect to periods prior to the Effective 
Date and on and after January 1, 1993, shall be payable under this Plan 
as provided in Sections 589.2 and 589.3 below. 

(c) "Portion of CalPERS" — This Plan shall be deemed to be a "por- 
tion" of CalPERS and each retirement plan which exists as a part of Cal- 
PERS solely to the extent required by, and within the meaning of, Section 
415(m)(3) as in effect on January 1 , 2000, and not for any other purpose. 

(d) Purpose and Tax Status of this Plan — In accordance with Section 
415(m), this Plan is solely for the purpose of providing to Members of 
CalPERS, and Other Recipients that part of the annual benefit otherwise 
earned under CalPERS that exceeds the limitations on benefits imposed 
by Section 415. 

NOTE: Authority cited: Section 20120, 20121 and 21760, Government Code. Ref- 
erence: Section 21757, Government Code. 

History 

1. New article 8 (sections 589-589.10) and section filed 1-25-2001; operative 
1-25-2001 pursuant to Government Code section 11343.4(c). Submitted to 
OAL for printing only (Register 2001, No. 4). 

2. Amendment of subsection (a)(3) filed 11-18-2002; operative 12-18-2002. 
Submitted to OAL for printing only pursuant to Government Code section 
21760 (Register 2002, No. 47). 

§589.1. Definitions. 

(a) Plan Definitions — Terms used in this Plan shall have the meaning 
set out below: 

(1) "Board" means the CalPERS Board of Administration. 

(2) "CalPERS" means the California Public Employees' Retirement 
System. 

(3) "Commencement Date" means the date of commencement of par- 
ticipation in this Plan as set out in Subsection 589.2(b) hereof. 

(4) "Effective Date" means January 1, 1999. 

(5) "Government Code" means the California Government Code. 

(6) "HI Taxes" means federal hospital insurance taxes. 

(7) "Member" means person who has qualified for membership in the 
California Public Employees Retirement System and on whose behalf an 
employer has become obligated to pay contributions to such System 

(8) "OASDI" Taxes means federal old age, survivor and disability in- 
surance taxes. 

(9) "Other Recipient" means any recipient of benefits from CalPERS 
other than the Participant, such as a beneficiary, spouse, former spouse, 
eligible survivor, surviving parent, surviving child, or other recipient of 
benefits payable from CalPERS. 

(10) "Participant" means a CalPERS Member who participates in this 
Plan pursuant to Section 589.2 hereof. 

(11) "PERF" means the Public Employees' Retirement Fund as estab- 
lished under Government Code Section 20170. 

(12) "Plan" means this California I\iblic Employees' Retirement Sys- 
tem Replacement Benefits Plan. 

(13) "Plan Administrator" means the Board. 

(14) "Plan Year" means the 12-month period beginning on July 1 and 
ending on June 30. 

(15) "Replacement Benefit Custodial Fund" means the fund estab- 
lished pursuant to Government Code Section 21758, which is separate 



Page 52.8(b) 



Register 2004, No. 39; 9-24-2004 



Title 2 



Public Employees' Retirement System Board 



§ 589.3 



and apart from the PERF and any other CalPERS retirement tnist fund 
and which is estabHshed to collect, hold and disburse funds to provide 
benefits under the Plan. 

( 1 6) "Recommencement Date" means the date of recommencement of 
participation in this Plan as set out in Subsection 589.2(d) hereof. 

(17) "Section 415" means Section 415 of the Tax Code. 

(18) "Tax Code" means the Internal Revenue Code of 1986, as 
amended, and any rules and regulations issued thereunder. 

(b) Other Definitions — Terms used but not defined herein which are 
used in and defined under the Government Code as that Code governs 
CalPERS shall be deemed to be a reference to the terms used in and de- 
fined in the Government Code, and shall be defined in exactly the same 
manner as they are defined therein unless otherwise specifically provided 
in this Plan. 

NOTE; Authority cited: Section 20120, 20121 and 21 760, Government Code. Ref- 
erence: Section 21757, Government Code. 

History 

1. New section filed 1-25-2001; operative 1-25-2001 pursuant to Government 
Code section 1 1343.4(c). Submitted to OAL for printing only (Register 2001, 
No. 4). 

§ 589.2. Participation. 

(a) CalPERS Members With Benefits Limited by Section 415 — Par- 
ticipation in this Plan is limited solely to those CalPERS Members or 
Other Recipients whose benefits earned or payable under CalPERS are 
limited by Section 415 for periods on and after the Effective Date. 

(b) Commencement of Participation — Participation in this Plan shall 
commence on the first date (on or after the Effective Date) with respect 
to which benefits payable to the Member from CalPERS are limited by 
Section 415. This date is the Commencement Date. 

(c) Cessation of Participation — Participation in this Plan shall cease 
as of the first date for which benefits payable to the CalPERS Member 
or Other Recipient are no longer limited by Section 415. 

(d) Re-commencement of Participation. 

(1) If any Parficipant has ceased paiticipation in this Plan but at a later 
date his or her CalPERS benefits payable are again limited by Section 
41 5, he or she shall again commence participation as provided in Subsec- 
tion 589.2(b) hereof and shall cease participation as provided in Subsec- 
tion 589.2(c) hereof. 

(2) If a Participant's CalPERS benefits stop, then he or she shall cease 
participation in this Plan and his or her benefits shall stop under this Plan. 
He or she shall again commence participation as provided in Subsection 
589.2(b) hereof and shall cease participauon as provided in Subsection 
589.2(c) hereof. 

(e) Other Recipients — Any Other Recipient of benefits from Cal- 
PERS shall receive benefits under this Plan as of the first date (on or after 
the Effective Date) with respect to which benefits payable to him or her 
from CalPERS are limited by Section 415. The Other Recipient's bene- 
fits payable under this Plan shall cease as of the first date for which his 
or her CalPERS benefit is no longer limited by Section 415. 

(f) Limited Retroactive ParUcipafion — CalPERS Members or Other 
Recipients whose benefits payable under CalPERS were limited by Sec- 
tion 415 for periods beginning on and after January 1, 1993 and ending 
with the Effective Date, shall be Participants in this Plan solely for the 
purpose of paying to them benefits that were limited by Section 415 dur- 
ing that period and shall be Participants solely for the time period neces- 
sary or appropriate to complete such payment. This Participation may be 
in addition to the Participation otherwise provided for in this Section. 

(g) No One Else Shall Receive Benefits — No one other than a person 
described in this Section shall receive any benefits under this Plan, except 
as required by domestic relations orders or applicable law. 

NOTE: Authority cited: Section 20120, 20121 and 21760, Government Code. Ref- 
erence: Section 21757, Government Code. 

History 

1. New section filed 1-25-2001; operative 1-25-2001 pursuant to Government 
Code section II 343.4(c). Submitted to OAL for printing only (Register 2001, 
No. 4). 



§ 589.3. Retirement Benefits. 

(a) Benefits Contingent on Funding — No benefits shall accrue under 
this Plan to any Participant or Other Recipient unless and until the state, 
the school employer, or the contracting agency, as appropriate, has paid 
to CalPERS the amount that CalPERS has invoiced the state, school em- 
ployer, contracting agency or Participant for the benefits payable, as pro- 
vided in Secfions 589.4 and 589.5 hereof. 

(b) Amount of Benefit — Initial Determinadon. 

The benefit payable under this Plan shall be initially determined for 
each Participant at the Participant's Commencement Date under the fol- 
lowing steps: 

(1 ) Calculate the Participant's benefit payable under CalPERS at the 
time of the Commencement Date without regard to the limits of Section 
415 and after taking into account the form of CalPERS benefit selected 
by the Participant. 

(2) Determine the amount of the Participant's CalPERS benefits (if 
any) attributable to after tax Member contributions and attributable to 
rollover contributions at the Commencement Date after taking into ac- 
count the form of CalPERS benefit selected by the Parficipant. 

(3) Subtract the amount determined in (2) from the amount calculated 
under (1); this is the amount subject to the Section 415 limits and there- 
fore subject to Section 415 tesfing. 

(4) Determine the maximum benefits payable to the Participant from 
CalPERS under the then current benefit payment limits of Secuon 415, 
ignoring any benefits that may be attributable to after tax Member con- 
tribufions or rollover Member contribufions. This determinafion shall 
take into account the applicable dollar limits, and the form of benefit pay- 
ment chosen. The limits may differ based on other factors such as wheth- 
er the Participant qualifies for the special safety member limits under 
Section 415 and when he or she first became a CalPERS Member. 

(5) Subtract the amount determined under (4) from the amount deter- 
mined under (3). If the amount in (3) is greater than that in (4), the differ- 
ence is the inifial benefit payable under this Plan. If the amount in (4) is 
equal to or greater than the amount in (3), then no benefits are payable 
under this Plan. 

(6) Secfion 415 estabhshes annual benefit limits and therefore, the 
amount of the inifial benefit to be paid under this Plan that is determined 
under (4) is an annual benefit. For payment under this Plan, however, the 
amount of such inifial benefit shall be converted to equal quarterly 
amounts. 

(c) Amount of Benefit — Redeterminafions. 

(1) As of each January 1 following the Participant's Commencement 
Date or Recommencement Date (or the date of commencement or recom- 
mencement of benefits under this Plan for any Other Recipient), the Par- 
ficipant' s, or Other Recipient's, benefit under this Plan shall be redeter- 
mined by following each of steps (1) through (6) of Subsecfion 589.3(b), 
but using the then current amounts determined by applying (i) cost of liv- 
ing adjustments and other changes (if any) to the benefits provided under 
CalPERS, and (ii) cost of living adjustments, and other changes (if any) 
to the maximum benefit limits established by Secfion 415. 

(2) At the Plan Administrator's sole discretion, the amount of every 
Participant's and Other Recipient's benefits (on a uniform basis and not 
separately for any particular Participant or Other Recipient) may be rede- 
termined at a date other than January 1 if there is a material change in the 
rules governing the maximum benefit limits established under Secfion 
415 or a material change in CalPERS benefits, or for any other material 
reason at the Plan Administrator's sole discrefion. 

(d) Amount of Benefit — Recommencement of Parficipation — When 
a Parficipant or Other Recipient recommences participation in this Plan, 
a recalculafion shall occur under Subsecfion 589.3(c) hereof, treafing the 
first month for which benefits resume under this Plan as if it were a date 
of recalculafion under Subsecfion 589.3(c). Any cost of living adjust- 
ments shall not apply to benefits payable under this section of the Plan 
until they otherwise would occur under the operation of this Plan and Cal- 
PERS. 



Page 52.8(c) 



Register 2004, No. 39; 9-24-2004 



§ 589.4 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



(e) Amount of Benefit — Other Recipients. 

Other Recipients shall be entitled to benefits under this Plan as fol- 
lows: 

(1) Other Recipients shall be entitled to benefits under this Plan only 
if they are entitled to benefits that are limited by Section 415 under Cal- 
PERS after the death of a CalPERS Member or upon legal separation or 
dissolution of a marriage of a Member. 

(2) The benefit payable to an Other Recipient under this Plan shall be 
determined as if he or she were the Participant, substituting in the calcula- 
tions under Subsections 589.3(b) or 589.3(c), as applicable, the amounts 
due to such Other Recipient for the amounts due to the Participant. 

(f) Timing of Payments. 

( 1 ) The amount of benefit provided under this Plan shall be paid quar- 
terly starting as of the first day of the last month of the first calendar quar- 
ter following the Commencement Date. At the Plan Administrator's sole 
discretion, payments may be made from this Plan more or less frequently 
than quarterly, (and this may be done on an individual Participant basis), 
provided that payments to a Participant or Recipient shall be made at least 
annually. 

(2) A pro rata amount, smaller than the quarterly payment, shall be 
paid for part of a quarter when the period of payment begins after the first 
day of the quarter or ends before the last day of the quarter. 

(g) Form of Benefit Paid — The benefit paid to a Participant or Other 
Recipient under this Plan shall be paid in the same form as benefits are 
paid to him or her under CalPERS, except that periodic benefits paid un- 
der this Plan shall be paid quarterly unless otherwise provided herein. 

(h) Limited Retroactive Payments. 

(1) The amounts that are payable to any Participant or Other Recipient 
covered by Subsection 589.2(f) above shall be determined as if the Effec- 
tive Date for this Plan for the Participant or Other Recipient was the iirst 
date on and after January 1 , 1 993 on which benefits payable to him or her 
under CalPERS were limited by Section 415, and the last date for which 
benefits were so limited was December 31,1 998. All of the other provi- 
sions in tliis Section 589.3 (including but limited to Subsection 589.3(a)) 
shall apply to determine such payment, except as provided in this Subsec- 
tion 589.3(h). 

(2) Benefits payable under this Subsection 589.3(h) shall be paid as 
soon as reasonably practicable. 

(3) Benefits payable under this Subsection 589.3(h) shall be paid, to 
the extent reasonably practicable, in a single sum. 

(i) Determination Solely By Plan Administrator — The Plan Adminis- 
trator shall have sole authority and discretion to determine the amount of 
benefits (if any) that are payable under this Section 589.3. 
NOTE: Authority cited: Section 201 20, 2012 1 and 2 1760, Government Code. Ref- 
erence: Section 21757, Government Code. 

History 

1. New section filed 1-25-2001; operative 1-25-2001 pursuant to Government 
Code section 11343.4(c). Submitted to OAL for printing only (Register 2001, 
No. 4). 

2. Amendment of subsection (a) filed 11-18-2002; operative 12-18-2002. Sub- 
mitted to OAL for printing only pursuant to Government Code section 21760 
(Register 2002, No. 47). 

§ 589.4. Funding. 

(a) Employer Contributions Required — The state, each applicable 
school employer, and each applicable contracting agency shall make 
contributions to this Plan in amounts to be fixed and determined by the 
Board. The Board shall have sole authority and discretion to determine 
the amount of contributions that must be paid to this Plan by the state, 
each applicable school employer, and each applicable contracting 
agency. The Board shall make such determination after receiving advice 
on such contributions from the Chief Actuary of CalPERS. 

(b) Employer Contribution Amount. 

(1) The amount of each employer's contributions to this Plan shall be 
equal to the amount of estimated benefits payable from this Plan for the 
applicable calendar year for applicable Participants and/or Other Recipi- 
ents. 



(2) The Board may require payment of additional contributions or oth- 
er amounts owed to this Plan from one or more applicable employers dur- 
ing the applicable calendar year as is necessary to provide benefits under 
this Plan. 

(c) Time and Manner of Employer Contributions — Employer con- 
tributions shall be made at the time and in the manner as is fixed by the 
Board. 

(d) Excess Amounts — If, at the end of any calendar year, assets are 
held in the Replacement Benefit Custodial Fund that are in excess of what 
was required during the calendar year to pay benefits under the Plan, such 
excess shall be used only to pay Plan expenses. 

(e) Source of Contributions — To the extent practicable and subject 
to the approval of the CalPERS Chief Actuary, contributions to this Plan 
shall be made from amounts that otherwise would have been contributed 
by the employer to CalPERS. Such contributions shall be deposited in the 
Replacement Benefit Custodial Fund. Under no circumstances shall any 
amount be transferred from the PERF to or for the use of this Plan. 

(f) Invoice for Contributions. 

(1) The Plan Administrator shall invoice each applicable contributing 
employer no later than the fifteenth day of January of each year. 

(2) In addition, the Plan Administrator shall invoice each applicable 
contributing einployer under this Plan as soon as is reasonably practica- 
ble in order to obtain the funds needed to pay benefits under this Plan for 
Members who become Participants after the beginning of the calendar 
year, and for other appropriate circumstances. 

(3) The employer shall promptly pay to CalPERS the amount invo- 
iced. 

(4) No benefits shall accrue or be payable to any person under this Plan 
unless and until payment of the amount invoiced for such person is made 
by the applicable contributing employer. 

(g) Replacement Benefit Custodial Fund. 

(1) All contributions under this Plan shall be deposited in the Replace- 
ment Benefit Custodial Fund. 

(2) The Plan Administrator shall establish, within the Replacement 
Benefit Custodial Fund, an individual account for each Participant or 
Other Recipient to hold contributions with respect to her or her benefit 
under this Plan, pursuant to Section 21758(e) of the Government Code. 
All benefits paid to such Participant and Other Recipient shall be paid 
from such accounts. 

NOTE: Authority cited: Sections 20120, 20121 and 21760, Government Code. 
Reference: Section 21757, Government Code. 

History 

1. New section filed 1-25-2001; operative 1-25-2001 pursuant to Government 
Code section 1 1343.4(c). Submitted to OAL for printing only (Register 2001, 
No. 4). 

2. Amendment of subsection (a) filed 1 1-18-2002; operative 12-18-2002. Sub- 
mitted to OAL for printing only pursuant to Government Code section 21760 
(Register 2002, No. 47). 

§ 589.5. Taxes. 

(a) Tax Withholding — The Plan Administrator shall have full author- 
ity to determine and withhold any and all taxes that are or may be due 
from all amounts contributed or paid under the Plan (including but not 
limited to income and payroll taxes), to pay them to the appropriate gov- 
ernment agency, and to file and distribute necessary or appropriate tax 
reports and forms. 

(b) Agent for Paying Taxes — The state, each affected school employ- 
er, and each affected contracting agency hereby designate the Plan Ad- 
ministrator as its agent for purposes of paying taxes and filing such forms 
and returns as are required by the Internal Revenue Service and any other 
tax agency with respect to benefits paid from this plan. The state, each 
affected school employer, and each affected contracting agency shall 
execute and file such forms and other documents as are deemed neces- 
sary or appropriate by the Plan Administrator in connection with this des- 
ignation. 

(c) Payment of OASDI and HI Taxes by Employers, Participants and 
Other Recipients. 



• 



Page 52.8(d) 



Register 2004, No. 39; 9-24-2004 



Title 2 



Public Employees' Retirement System Board 



§ 589.10 



• 



(1) The state, applicable school employers, applicable contracting 
agencies, Participants and Other Recipients shall promptly pay to the 
Plan Administrator amounts equal to such OASDI and HI Taxes that the 
Plan Administrator determines are due from them with respect to benefits 
paid from this Plan. Amounts paid under this Subsection 589.5(c)(1) 
shall be held in a special tax escrow account until paid and shall not be 
held in the Replacement Benefit Custodial Fund. 

(2) The Plan Administrator shall determine the amount of OASDI and 
HI taxes due with respect to any Participant or Other Recipient pursuant 
to applicable Treasury Regulations, and shall do the following: 

(A) invoice the state, the school employer, or contracting agency, as 
appropriate, for the full amount of the employer taxes due on benefits 
payable with respect to appUcable Participants and Other Recipients 
from this Plan, 

(B) collect the employer OASDI and HI Taxes due from such employ- 
er prior to the payment of any benefits under this Plan to the Participant 
or Other Recipient, 

C) collect the employee taxes due from the Participant or Other Recip- 
ient from benefits payable from this Plan prior to payment of any such 
benefits, and 

(D) as agent of the state, school employer, or contracting agency, pay 
such taxes and file such forms and returns as directed by the Internal Rev- 
enue Service. 

NOTE: Authority cited: Sections 20120, 20121 and 21760, Government Code. 
Reference: Section 21757, Government Code. 

History 

1. New section filed 1-25-2001; operative 1-25-2001 pursuant to Government 
Code section 11 343.4(c). Submitted to OAL for printing only (Register 2001, 
No. 4). 

2. Amendment of subsections (b), (c)(1), (c)(2)(A) and (c)(2)(D) filed 
1 1-18-2002; operative 12-18-2002. Submitted to OAL for printing only pur- 
suant to Government Code section 21760 (Register 2002, No. 47). 

§ 589.6. Exemption from Process; Assignments 
Prohibited. 

(a) Benefit Not Subject to Execution, Process or Assignment — The 
right of a person to any benefit or other right under this Plan and any 
money that is set aside to pay such benefits are not subject to execution 
or any process whatsoever except to the extent permitted by Section 
704. 1 10 of the Code of Civil Procedure, and are unassignable, except as 
specifically provided in this Plan. 

(b) Marital Dissolution or Legal Separation. 

(1) The provisions of Subsecfion 589.6(a) will not apply in the case of 
any property settlements upon marital dissolution or legal separation 
which are made in accordance with a domestic relations order (DRO) is- 
sued in accordance with state domestic relations law. 

(2) If the community property is divided upon the marital dissolution 
or legal separafion of a Member, then the provisions of Sections 21290 
through 21298 of the Government Code shall apply to this Plan in the 
same manner as they apply to CalPERS. 

NOTE: Authority cited: Sections 20120, 20121 and 21760, Government Code. 
Reference: Section 21757, Government Code. 

History 
1. New section filed 1-25-2001; operative 1-25-2001 pursuant to Government 

Code section 11343.4(c). Submitted to OAL for printing only (Register 2001, 

No. 4). 

§ 589.7. Administration. 

(a) Administration by the Board. 

(1) The management and control of this Plan is vested in the Board. 

(2) This Plan shall be administered by the Board in conformity with 
its powers and duties set forth in the Government Code commencing with 
SecUon 20000, including but not limited to all powers and duties set forth 
in Chapter 2 of Part 3 of the Government Code. 

(3) For determining the administrative powers and responsibilities of 
the Board, the term "Replacement Benefit Custodial Fund" shall replace 
reference to the "Public Employees' Retirement Fund" in Article 5 of 
Chapter 2 of Part 3 of the Government Code. The Board has the exclusive 



control of the administration and investment of the Replacement Benefit 
Custodial Fund. 

(b) Costs of Administration. 

(1) The administrative costs of this Plan shall be paid from (i) earnings 
on assets of the Replacement Benefit Custodial Fund, (ii) funds credited 
to accounts of Participants or Other Recipients under this Plan, (iii) for- 
feitures of amounts that have been credited to such accounts but which 
are not paid because of death of the Participant or Other Recipient, and 
(iv) amounts described in Subsection 589.4(d) above. 

(2) Administrative costs of this Plan shall not be paid from the PERF. 
NOTE: Authority cited: Sections 20120, 20121 and 21760, Government Code. 
Reference: Section 21757, Government Code. 

History 

1. New section filed J -25-2001; operative 1-25-2001 pursuant to Government 
Code section 1 1343.4(c). Submitted to OAL for printing only (Register 2001, 
No. 4). 

§ 589.8. Source of Benefits. 

(a) Replacement Benefit Custodial Fund — All benefits payable under 
this Plan shall be paid solely from the Replacement Benefits Custodial 
Fund. 

(b) No Employee Deferrals — No employee contributions or deferrals 
shall be made or allowed under the Plan at any time. In accordance with 
SecUon 415(m), no election to defer compensauon under this Plan shall 
be provided, at any time or in any manner, to any person. 

(c) No Use of CalPERS Assets — Except as specifically allowed by 
governing federal and state law (including but not limited to governing 
federal and state tax laws), assets used to provide benefits under this Plan 
shall not be commingled with the monies of the PERF or any other Cal- 
PERS refirement trust fund or any other qualified plans, nor shall this 
Plan ever receive or use any assets of the PERF. 

NOTE: Authority cited: Sections 20120, 20121 and 21760, Government Code. 
Reference: Section 21757, Government Code. 

History 
1. New section filed 1-25-2001 ; operative 1-25-2001 pursuant to Government 

Code section 1 1343.4(c). Submitted to OAL for printing only (Register 2001, 

No. 4). 

§ 589.9. Miscellaneous. 

(a) Applicable Law — This Plan shall be governed by the laws of the 
State of California and applicable federal law. 

(b) No Employment Rights — Nothing in this Plan shall be construed 
as giving to a Parficipant any right to be retained in the employment of 
the state, the school employer, or any contracfing agency. 

(c) Unclaimed Benefits and Accumulations — In any situation where 
benefits are payable under this Plan, a reasonable search, including mail- 
ing of a registered letter to the last known address, shall be made to ascer- 
tain the whereabouts of the eligible Participant or other Recipient. 

If the person or persons entitled thereafter come forward and request 
payment and establish such entitlement, the amounts then due, including 
retroactive payments from the Commencement Date, shall be paid ac- 
cordingly. 

(d) Benefit Limits — Nothing in this Plan shall be construed as creat- 
ing an entitlement to any benefits greater than what is otherwise provided 
under the sections of the Government Code that govern the benefits pro- 
vided by CalPERS determined without regard to the limits of Section 
415. 

NOTE; Authority cited: Sections 20120, 20121 and 21760, Government Code. 
Reference: Section 21757, Government Code. 

History 

1. New section filed 1-25-2001; operative 1-25-2001 pursuant to Government 
Code section 11343.4(c). Submitted to OAL for printing only (Register 2001, 
No. 4). 

2. Amendment of subsection (b) filed 11-18-2002; operative 12-18-2002. Sub- 
mitted to OAL for printing only pursuant to Government Code section 21760 
(Register 2002, No. 47). 

§ 589.10. Amendment or Termination of Plan. 

(a) Right to Amend Plan — Notwithstanding any other provision of 
this Plan, the Board has the right to amend this Plan at any time and at any 
manner for any reason whatsoever. This right to amend includes, but is 



Page 52.8(e) 



Register 2004, No. 39; 9-24-2004 



§590 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



not limited to, the right to amend the Plan to reduce or eliminate any or 
all benefits under the Plan for any or all persons who may be Participants 
and/or Other Recipients or otherwise may be entitled to benefits under 
the Plan. Benefits may be reduced or eliminated for any or all persons (in- 
cluding Participants and/or other Recipients) even if they are then en- 
titled to or are receiving benefits under the Plan. 

(b) Right to Terminate Plan — Notwithstanding any other provision 
of this Plan, the Board has the right to terminate this Plan at any time and 
for any reason whatsoever. This right to terminate the Plan includes, but 
is not limited to, the right to terminate any or all benefits under the Plan 
for any or all persons who may be Participants and/or Other Recipients 
or otherwise may be entitled to benefits under the Plan. Benefits may be 
terminated for any or all persons (including Participants and/ or other Re- 
cipients) even if they are then entitled to or are receiving benefits under 
the Plan. 

(c) Vested Rights — Nothing in this Section 589.10 shall be construed 
as affecting any vested rights that a Participant or Other Recipient may 
otherwise have under California law. 

(d) Preservation of Tax Status — This Plan shall not in any way jeopar- 
dize the tax qualified status of CalPERS. To maintain this qualified sta- 
tus, the Board shall take all necessary or appropriate action, including but 
not limited to amending this Plan and any rules governing this Plan, sole- 



ly for the purpose of complying with applicable federal tax laws and reg- 
ulations. 

NOTE: Authority cited: Sections 20120, 20121 and 21760, Government Code. 
Reference: Section 21757, Government Code. 

History 
1. New section filed 1-25-2001; operative i-25-2001 pursuant to Government 

Code section 11343.4(c). Submitted to OAL for printing only (Register 2001, 

No. 4). 



Subchapter 2. Social Security (OASDHI) 
Regulations 



Article 1. General 

§ 590. Location of Offices. 

The office of the board is located at 400 P Street, Sacramento, Califor- 
nia. Correspondence should be addressed to the Executive Officer, Pub- 
lic Employees' Retirement System, P.O. Box 942709, Sacramento, Cali- 
fornia 94229-2709. 

NOTE: Authority cited for Subchapter 2 (§§ 590 through 598.1, 599 and 599.1): 
Section 22500, Government Code. 



[The next page is 53.] 



Page 52.8(f) 



Register 2004, No. 39; 9-24-2004 



Title 2 



Public Employees' Retirement System Board 



§598 



History 

1. New Subchapter 2 (§§ 590 through 598.1, 599 and 599.1) filed 7-6-55, as an 
emergency; effective upon filing (Register 55, No. 10). (For former Sections 
590 through 599, designated as Chapter 3, issued by Director of Finance, see 
Register 55, No. 6. Repealer filed 7-22-55 as an einergency; effective upon fil- 
ing.) 

2. Amendment filed 4-23-57 as an emergency; effective upon filing (Register 57, 

No. 7). 

3. Amendment filed 12-9-64; effective thirtieth day thereafter (Register 64, No. 

24). 

4. Amendment filed 4-9-68; effective thirtieth day thereafter (Register 68, No. 
15). 

5. Change without regulatory effect filed 4-18-88; operative 5-18-88 (Redster 
88, No. 18). 



§591. Definitions. 

For the purpose of the regulations contained in this chapter, the term 
"board" means the Board of Administration of the Public Employees' 
Retirement System; the term "code" means the California Administra- 
tive Code; the term "register" means the California Administrative Reg- 
ister; the term "supervisor" means the agency or individual designated 
by the Governor to supervise the conduct of divisions and referendums 
as provided by Part 4, Division 5 of Title 2 of the Government Code; the 
term "member" with respect to any retirement system shall include in ad- 
dition to members of the system any nonmember in a position in which 
he may elect membership for purposes of division of the system; and the 
term "federal system" means the Old-Age, Survivors, Disability, and 
Health Insurance provisions of the Social Security Act. 
NOTE: Additional authority cited; Section 22151, Government Code. 

History 

1 . Amendment filed 6-22-59 as an emergency; effective upon filing (Register 59, 
No. 10). 

2. Certificate of Compliance — Section 1 1422. 1, Government Code; filed 8-20-59 
(Register 59, No. 14). 

3. Amendment filed 4-9-68; effective thirtieth day thereafter (Register 68, No. 
15). 

§ 592. Tenses, Gender and Number. 

For the purpose of the regulations contained in this chapter, the present 
tense includes the past and future tenses, and the future the present; the 
masculine gender includes the feminine, and the feminine, the mascu- 
line; and the singular includes the plural, and the plural, the singular. 

Article 2. Referendum Procedures for Local 
Public Agencies 



§ 593. Adoption of Resolution. 

Any public agency, as defined in Sections 22009, et seq., of the Gov- 
ernment Code, except the State, desiring to hold a referendum, shall first 
adopt a resolution or ordinance to do so. Such resolution or ordinance 
shall specify who are the employees eligible to vote in such referendum, 
and shall designate by name and title the individual who will conduct the 
referendum. Such resolution or ordinance shall establish the effective 
date upon and after which services performed for such public agency 
shall be covered under the agreement under the provisions of Section 218 
of the Social Security Act. Such resolution or ordinance shall include a 
request to the board for authorization to hold such referendum. 
NOTE: Authority cited: Section 20120, Government Code. Reference: Section 
22300, Government Code. 

History 

1. Amendment filed 12-9-64; effective thirtieth day thereafter (Register 64, No. 
24). 

2. Amendment filed 4-9-68; effective thirtieth day thereafter (Register 68, No. 
15). 

3. Amendment filed 8-5-76; effecfive thirtieth day thereafter (Register 76, No. 

32). 



§ 594. Date of Referendum. 

Upon receipt of the board's authorization to hold a referendum, the 
public agency shall set a date upon which its eligible employees shall 
vote in such referendum. This date may be set by the individual who will 
conduct the referendum, on behalf of such public agency. 

§ 595. Submission of Proposed Notice and Procedure. 

The public agency shall prepare a notice of referendum, specifying, 
among other matters, the time and place for voting. Such notice, together 
with a proposed plan of procedure in the conduct of such referendum, 
shall be submitted to the supervisor for approval. 

§ 596. Notice of Referendum. 

After approval by the supervisor of the notice and plan of referendum, 
the public agency shall give such notice to all employees eligible to vote 
in the referendum. Notice of referendum shall be given by either personal 
service or first class mail, and in addition thereto, by posting such notice 
on all bulletin boards maintained by such agency to give notices to em- 
ployees. 

§ 597. Referendum Ballots. 

Ballots shall be furnished to all employees eligible to vote in such ref- 
erendum, and only to such employees. The ballots so furnished shall con- 
tain a statement of the question to be voted upon in the referendum. Such 
question shall be in the words and figures contained in the notice of refer- 
endum hereinabove mentioned. Provision shall be made for an indication 
by the voter of a vote in either the affirmative or negative. The ballots 
shall be counted by or under the supervision of the individual who con- 
ducts the referendum. 

§ 598. Certification of Referendum. 

(a) Upon completion thereof, the individual who conducts the referen- 
dum shall, if such be the facts, certify to the supervisor that: 

(1) A referendum by secret written ballot was held on question of 
whether service in positions covered by the retirement system of the pub- 
lic agency should be excluded from or included under the agreement un- 
der the provisions of Section 218 of Title II of the Social Security Act; 

(2) An opportunity to vote in such referendum was given (and was lim- 
ited) to eligible employees; 

(3) Not less than 90 days' notice of such referendum was given to all 
such employees; 

(4) Such referendum was conducted by liim; 

(5) A majority of the eligible employees voted in favor of including 
service in such positions under an agreement under said Section 218; 

(6) That with respect to such referendum the conditions specified in 
Section 21 8(d) of the Social Security Act have been met, and that the pro- 
tection afforded employees in positions covered by the retirement system 
as to which such referendum has been had, as well as those receiving peri- 
odic benefits under such retirement system, will not be impaired as a re- 
sult of making an agreement, bringing such employees under social secu- 
rity in accordance with the declared policy of the Congress set forth in 
Section 218(d) of the Social Security Act. 

(b) Accompanying such certification, the individual who conducted 
the referendum shall forward to the supervisor: 

(1 ) His affidavit of service and posting of the notice of referendum; 

(2) A certified copy of the notice of referendum; 

(3) All ballots cast in the referendum. 

(c) Certification to Governor. The supervisor shall thereupon certify 
to the Governor or such other state official designated by the Governor 
that such referendum has been conducted and completed in full accor- 
dance with law and these regulations. 

(d) Destruction of Referendum Ballots. The ballots cast in the referen- 
dum shall be forwarded by the supervisor to the office of the board, where 
such ballots shall be retained for a period of 30 days following acceptance 
by the Department of Health and Human Services of the modification in- 
cluding in coverage under the federal-state agreement the retirement sys- 



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tem coverage group with respect to which the referendum was held. At 
the expiration of the said 30-day period, the ballots shall be destroyed. 
NOTE: Authority cited: Section 22500, Government Code. Reference: Section 
22300. Govemment Code. 

History 

1. New subsection (d) filed 6-29-60; effective thirtieth day thereafter (Reeister 

60, No. 13). 

2. Amendment filed 7-18-61 as an emergency; effective on filing (Register 61, 
No. 14). 

3.CertificateofCompliance— Sec. 11422.1, Gov. Code, filed 10-17-61 (Reaister 

61, No. 21). 

4. Amendment of subsection (d) filed 2-1 1-81; effective thirtieth day thereafter 
(Register 81, No. 7). 

§598.1. Ratification. 

All action taken by any public agency in accordance with law and 
these regulations, but taken before the formal adoption hereof, is hereby 
ratified, approved and confirmed. 

§ 598.50. Authorization for Division; Supervision by 
Referendum Supervisor. 

NOTE: Authority cited for Article 2.5: Sections 22151 and 22500. Government 
Code. 

History 

1 . New Article 2.5 ( §§ 598.50 through 598.54) filed 10-14-57; effective thirtieth 
day thereafter (Register 57, No. 18). 

2. Repealer of Article 2.5 ( §§ 598.50 through 598.54) filed 7-1 8-6 1 as an emer- 
gency; effective upon filing (Register 61, No. 14). 

3.CertificateofCompliance— Sec. 11422.1, Gov. Code, filed 10-17-61 (Register 
61, No. 21). 



Article 3. Division of Retirement Systems 

§ 598.60. Authorization for Division. 

The governing body of any public agency, as defined in Sections 
22009, et seq., of the Govemment Code, except the State, may divide a 
retireiTient system established by it into two parts in accordance with 
these rules, one part composed of positions of members of such system 
who desire coverage under the Federal System, and the other composed 
of positions of members who do not desire such coverage. 
NOTE: Authority cited for new Article 3 (Secdons 598.60 through 598.69, inclu- 
sive): Secrions 22151 and 22500, Govemment Code. Additional authority cited: 
Secfion 20120, Government Code. Reference: Secfion 22150, Govemment Code. 

History 

1 . New Article 3 (Sections 598.60 through 598.69) filed 6-22-59 as an emergen- 
cy; effective upon filing (Register 59, No. 10). 

(For former Article 3 (Sections 599 through 599.3), see Registers 55, No. 16, and 
57, No. 18. Repealer filed 6-22-59 as an emergency; designated effecdve on 
filing.) 

2. Certificate of Compliance — Section 1 1422.1, Govemment Code; filed 8-20-59 
(Register 59, No. 14). 

3. Amendment filed 4-9-68; effective thirtieth day thereafter (Register 68, No. 
15). 

4. Amendment filed 8-5-76; effecdve thirtieth day thereafter (Register 76, No. 

32). 

§ 598.61. Division Election. 

History 

1 . Repealer filed 6-26-63 as an emergency; effecdve upon filing (Reaister 63, No. 
11). 

2. Certi ficate of Compl iance — Secdon 1 1 422. 1 , Govern ment Code, fi led 8-2 1 -63 
(Register 63, No. 14). 

§ 598.62. Resolution Requesting Division. 

Authorization shall be requested by a resolution adopted by the gov- 
erning body or such other officer or body as may be authorized or di- 
rected by law to divide the system. The resolution shall include: (1 ) a des- 
ignation of the members, if any, who are excluded from participation in 
the division; (2) a designadon by name and title of the local division offi- 
cer who will conduct the division; and (3) the effective date on and after 
which services of members will be included in the federal system. The 
resolution shall provide for reimbursement of estimated costs incurred by 
the State in connection with the division and shall fix the date for the divi- 



sion or authorize the local division officer to fix such date. Two copies 
of the resolution properly certified shall be filed with the board. 
NOTE: Additional authority cited: Secdon 22150, Govemment Code. 

History 

1 . Amendment filed 6-26-63 as an emergency; effective upon filine (Register 63, 
No. 11). 

2. Certificate of Compliance — Section 1 1422.1, Govemment Code, filed 8-21-63 
(Register 63, No. 14). 

§ 598.63. Executive Officer's Authorization. 

The Executive Officer, upon the filing of a resolution complying with 
these regulations, shall authorize a division of the retirement system and 
shall designate the State division supervisor to supervise the conduct of 
the division. 

NOTE: Addidonal authority cited: Section 22150, Govemment Code. 

History 

1 . Amendment filed 6-26-63 as an emergency; effective upon filina (Register 63, 
No. 11). 

2. Certificate of Compliance— Section 1 1422.1, Govemment Code, filed 8-2 1-63 
(Register 63, No. 14). 

§ 598.64. Notice of Division. 

The local division officer shall, upon issuance of the authorization, 
prepare a nouce of the division which shall contain among other matters 
the date of the division and an explanation of the modification if any to 
be made in the retirement system as it applies to public agency em- 
ployees. He shall submit such notice together with the proposed plan of 
procedure to the state division supervisor for approval. The approved no- 
tice shall be given not less than 90 days prior to the date set for the divi- 
sion to all persons who are eligible members of the system. Such notice 
shall also be given to each person who becomes an eligible member after 
the notice date to and including the date fixed for the division. Notice 
shall be given by personal delivery or by first-class mail and must be 
posted on all bulletin boards maintained by the agency to give notices to 
employees. 

§ 598.65. Division Election Form. 

Each member of the retirement system on the division date shall be 
supplied with a division election form devised or approved by the execu- 
dve officer, Public Employees' Retirement System, containing provi- 
sions for an election by the member whether he desires to be or not to be 
included in the part of the system to be covered under the Federal System. 
If supplied by mail, the form shall be sent by first-class mail. Failure to 
execute and return a form indicating an election to be included in that part 
of the system to be covered under the federal system on the division date 
or within 10 days or such longer period thereafter as may be prescribed 
by the execudve officer, shall be deemed an election not to be included 
in such part, unless the board finds that the failure was due to circum- 
stances beyond the control of the member. 

History 

1. Amendment filed 4-9-68; effecdve thirtieth day thereafter (Register 68, No. 
15). 

2. Amendment filed 11-21-75 as an emergency; effective upon filing (Register 
75, No. 47). 

3. Certificate of Compliance filed 3-2-76 (Register 76, No. 10). 

§ 598.66. Certificate of Conduct of Division. 

Upon completion of division procedures in compliance with these 
rules, the local division officer shall so certify to the state division super- 
visor. He shall forward to the supervisor a certified list of the members 
eligible to participate in the division and all election forms properly ex- 
ecuted and returned by eligible members in the division. 

§ 598.67. Division Supervisor's Certificate. 

The supervisor of the division, upon receipt thereof and upon finding 
that the division was conducted in compliance with applicable law and 
these rules, shall approve the list and election forms and file the same in 
the office of the board where they shall be maintained as a permanent re- 
cord. He shall thereupon certify to the Governor or to any such other State 



• 



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§ 599.5 



• 



• 



official designated by the Governor to make the certification required in 
Section 2 18(d)(6) of the Federal Social Security Act with respect to the 
division that: 

(a) An opportunity to vote by written ballot on the question whether 
they wish to be covered under the federal system was given to all individ- 
uals who were members of the system at the time the vote was held. 

(b) Not less than 90 days' notice was given to all individuals who were 
members of such system on the date the notice was issued. 

(c) The vote was conducted under the supervision of the division su- 
pervisor. 

(d) All written election forms returned and approved by the supervisor, 
together with a list of the members eligible to participate in the division, 
have been filed in the office of the board. 

NOTE: Additional authority cited: Section 22150, Government Code. 

History 

1 . Amendment tiled 6-26-63 as an emergency; effective upon filing (Register 63, 
No. II). 

2. Certificate of Compliance — Section 11 422.1, Government Code, filed 8-21-63 
(Register 63, No. 14). 

§ 598.68. Application and Agreement. 

When the division supervisor's certificates have been filed, the gov- 
erning body of the public agency may submit an application and agree- 
ment to the board for coverage under the federal system of the members 
of the system established by these procedures composed of the members 
electing such coverage. 

§ 598.69. Application of Article. 

History 

1 . Repealer filed 6-26-63 as an emergency; effective upon filing (Register 63, No. 
11). 

2. Certificate of Compliance — Section 1 1422.1, Government Code, filed 8-21-63 
(Register 63, No. 14). 

§ 598.75. Authorization for Division. 

Note: Authority cited for Article 4: Sections 22151 and 22500, Government 
Code. 

History 
1. Repealerof Article 4 (Sections 598.75 through 598.80) filed 1 2-9-64 ;effecnve 
thirtieth day thereafter (Register 64, No. 24). For prior history, see Register 61 , 
No. 21. 

§ 598.81 . Authorization for Division. 

NOTE: Authority cited for Article 4.5 (Sections 598.81 through 598.86), Sections 
22151, 22156, 22500, Government Code. Additional authority cited: Section 
20120, Government Code. 

History 

1. New Article 4.5 (Sections 598.81 through 598.86) filed 1-4-72 as an emergen- 
cy; effecfive upon filing (Register 72, No. 2). 

2. Certificate of Compliance filed 5-2-72 (Register 72, No. 19). 

3. RepealerofArticle4.5(Secfions 598.81 through598.86) filed 8-5-76;effecnve 
thirtieth day thereafter (Register 76, No. 32). 

§ 598.90. Resolution of Intention. 

NOTE: Authority cited for new Article 5 (Sections 598.90 through 598.93): Sec- 
tions 22151 and 22500, Government Code. 

History 

1 . New Article 5 (Secdons 598.90 through 598.93) filed 7-30-59 as an emergen- 
cy; effecfive upon filing (Register 59, No. 13). Certificate of Compliance filed 
8-20-59. 

2. Repealer of Article 5 (§§ 598.90-598.93) filed 7-18-61 as an emergency; effec- 
five on filing (Register 61, No. 14). 

3. Certificate of Compliance— Sec. 11422.1, Gov. Code, filed 10-17-61 (Register 
61, No. 21). 



Article 6. 



Transfer of Members of Divided 
System 



§ 599. Authorization for Transfer. 

Any public agency which has divided a retirement system may request 
a transfer of members from the system composed of positions of mem- 
bers not desiring coverage under the federal system to the system com- 



posed of members desiring such coverage pursuant to this article. Such 
request must include both the members of the system who elected not to 
be covered and those nonmembers having an option to be members, who 
either elected not to be covered or who had no right of election under the 
law at the time of the division. 

NOTE: Authority cited for Article 6 (Secfions 599 through 599.5), Secfions 22155 
and 22500, Government Code. Addinonal authority cited: Section 22155.5, Gov- 
eniment Code. 

History 

1 . New Article 6 (Secdons 599 through 599.5) filed 8-1 9-59 as an emergency; ef- 
fective upon filing (Register 59, No. 14). 

2. Certificate of Compliance — Secdon 1 1 422. 1 , Gov. Code, for Article 6 (Sections 
599 through 599.5) filed 10-13-59 (Register 59, No. 18). 

3. Amendment filed 2-14-62; effective thirtieth day thereafter (Register 62, No. 
3). 

§ 599.1 . Resolution Requesting Transfer — Contents. 

The governing body of the public agency shall adopt and file with the 
board a resolution requesting the Board of Administration to execute a 
modification to the federal-state agreement to accomplish such transfer. 
The resolution shall specify a date before which members desiring to 
transfer must file their written requests with the State. 

§ 599.2. Resolution Requesting Transfer — Time for Filing. 

The resolution of the governing body must be filed before the first day 
of the twenty-fourth month following the execution by the appropriate 
federal official of the modification including the employees of the 
agency in the Federal System, or December 1, 1969, whichever is later, 
and may not specify a date for filing requests earlier than 60 days follow- 
ing execution of such modification, or 15 days following the filing of the 
resolution, whichever is later. 

History 

1 . Amendment filed 10-17-61 ; effective thirtieth day thereafter (Register 61, No. 
21). 

2. Amendment filed 9-8-65 as an emergency; effective upon filing (Register 65, 
No. 17). 

3. Certificate of Compliance— Sec. 1 1422. 1 , Gov. Code, filed 1 0-22-65 (Register 
65, No. 20). 

4. Amendment filed 4-9-68; effecfive thirtieth day thereafter (Register 68, No. 
15). 

§ 599.3. Notice of Right to Transfer. 

The governing body shall give or cause to be given, on or before the 
fifing of the resolution, notice to eligible members of the right to request 
a transfer and of the date by which such requests must be filed in the of- 
fice of the board and shall make available to such members forms devised 
or approved by the execuUve officer upon which such requests may be 
filed. 

§ 599.4. Member Request for Transfer. 

Any member of the part of a divided retirement system composed of 
positions of members not desiring coverage with respect to which a reso- 
lution has been filed in accordance with this article may file a written re- 
quest with the Board of Administrafion that his posifion be transferred to 
the part of the system composed of members desiring coverage. Such re- 
quest shall be on a form devised for the purpose and approved by the ex- 
ecutive officer; provided, however, that the executive officer shall accept 
the filing of any writing signed by the member which clearly states his 
intention to transfer. A member's request for transfer must be received 
in the office of the board on or before the date specified in the resolufion 
for such filing. Requests duly filed with the board shall be maintained as 
a permanent record. The execuUve officer shall provide the agency with 
the names of the persons requesting transfer. 

§ 599.5. Modification Providing for Transfer. 

Upon the filing of a resolution in accordance with this article and expi- 
ration of the period for filing of member requests, as fixed by the resolu- 
tion, the executive officer or, in his absence, the assistant executive offi- 
cer, shall execute on behalf of the board and deliver to the Secretary of 
Health and Human Services, a modification to the agreement to include 
members so requesting in the federal system. 



Page 55 



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§ 599.6 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



NOTE: Authorily cited: Section 22500, Government Code. Reference: Section 
22155, Government Code. 

History 

1. Amendment fded 2-11-81 ; effective thirtieth day thereafter (Register 81, No. 

7). 

§ 599.6. Transfer of School Members. 

History 

1. New section filed 7-18-61 as an emergency; effective on filing (Register 61, 
No. 14). 

2.CertificateofCompliance— Sec. 11422.1, Gov. Code, filed 10-17-61 (Register 
61, No. 21). 

3. Amendment filed 8-16-66 as an emeraency; effective upon filing (Register 66, 

No. 27). 

4. Certificate of Compliance — Section 11422.1, Government Code, filed 
10-26-66 (Register 66, No. 37). 

5. Repealer filed 4-9-68; effective thirtieth day thereafter (Register 68, No. 15). 

§ 599.7. Transfer of State Members. 

History 

1 . New section filed 9-8-65 as an emergency; effective upon filing (Register 65, 

No. 17). 

2. Certificateof Compliance— Sec. 1 1422.1, Gov. Code, filed 10-22-65 (Register 
65, No. 20). 

3. Repealer filed 4-9-68; effecfive thirtieth day thereafter (Register 68, No. 15). 



Article 7. Termination Procedures for Local 
Public Agencies 

§ 599.50. Adoption of Resolution or Ordinance. 

NOTE; Authority cited: Secfion 22310, Government Code. Additional authority 
cited: Section 20120, Government Code. Reference: Section 22300. Government 
Code. 

History 

1. New Article 7 (Secfions 599.50 through 599.54) filed 8-15-67; effecfive thir- 
tieth day thereafter (Register 67, No. 33). 

2. Amendment filed 8-5-76; effecfive thirtieth day thereafter (Register 76, No. 

32). 

3. Change without regulatory effect repealing secfion pursuant to 1 CAC secfion 
100 (Register 86, No. 52). 

§ 599.51. Provisions of Termination Resolution or 

Ordinance. 

NOTE: Authority cited: Secfion 20120, Government Code. Reference: Secfion 
218(g)(1), Social Security Act (PL 95-216, 1977). 

History 

1. Amendment filed 5-24-78; effective thirtieth day thereafter (Register 78, No. 
21). 

2. Change without regulatory effect repealing secfion pursuant to 1 CAC section 
100 (Register 86, No. 52). 

§ 599.52. Notification of Federal Government. 

Note: Authority cited: Secfion 22500, Government Code. Reference: Section 
22310, Government Code. 

History 

1 . Amendment filed 2-1 1-81 ; effecfive thirtieth day thereafter (Register 81, No. 
7). 

2. Change without regulatory effect repealing section pursuant to 1 CAC secfion 
100(Register86, No. 52). 

§ 599.53. Cancellation of Termination Procedures. 

NOTE: Authority cited: Secfion 22500, Government Code. Reference: Secfion 
22310, Government Code. 

History 

1. Amendment filed 2-11-81; effecfive thirtieth day thereafter (Register 81, No. 
7). 

2. Change without regulatory effect repealing secfion pursuant to 1 CAC secfion 
100 (Register 86, No. 52). 

§ 599.54. Audit of Records of Terminating Agency. 

History 

1. Change without regulatory effect repealing section pursuant to 1 CAC section 
100 (Register 86, No. 52). 



§ 599.55. Extension of Termination Procedures. 

NOTE: Authority cited: Secfion 22500, Government Code. Reference: Secfion 
22310, Government Code. 

History 

1. New secfion filed 7-7-77; effecfive thirtieth day thereafter (Register 77, No. 

28). 

2. Amendment filed 2-1 1-81 ; effecfive thirtieth day thereafter (Register 81, No. 

7). 

3. Chanee without regulatory effect repealing secfion pursuant to 1 CAC section 
100(Register86, No. 52). 



• 



Subchapter 3. Public Employees' Medical 
and Hospital Care Act Regulations 



Article 1. Definitions, Coverage, 

Enrollment, Conversion, Minimum 

Standards, Alternative Benefit Plans, 

Contributions, Contingency Reserve Fund, 

Contracting Agency Participation and 

Medicare Part B 

§ 599.500. Definitions. 

For the purposes of this subchapter: 

(a) Terms used in this subchapter that are defined by the Public Em- 
ployees' Medical and Hospital Care Act (Title 2, Division 5, Part 5 (com- 
mencing with Section 22750) of the Government Code) shall have the 
meanings therein set forth. 

(b) "Employing office" means any office of the state or contracting 
agency to which jurisdiction and responsibility for health benefits action 
for the employee concerned have been delegated. For annuitants, wheth- 
er or not the annuitant is also an employee, the Health Benefits Division 
of the Public Employees' Retirement System is the employing office. 

(c) "Payroll office" means either the office of the State Controller for 
agencies "participating under the Uniform Payroll System, or the employ- 
ing office for agencies not participating under the Uniform Payroll Sys- 
tem, irrespective of whether or not salary warrants are issued by the State 
Controller. 

(d) "Time." Whenever in this subchapter a time is stated in which an 
act is to be done, the nme is computed by excluding the first day and in- 
cluding the last day. If the last day is a holiday, it is also excluded. 

(e) "Annuity period" means the period for which a single installment 
of a retirement allowance or annuity is customarily paid for annuitants. 

(f) "Enroll" means to file with the employing office a properly com- 
pleted Health Benefits Plan Enrollment Form electing to be enrolled in 
a health benefits plan. 

(g) "Enrolled" means to be enrolled in a health benefits plan approved 
by the Board under this subchapter. 

(h) "Register not to enroll" means to file with the employing office a 
properly completed Health Benefits Plan Enrollment Form electing not 
to be enrolled in a health benefits plan. 

(i) "Cancellation" is the act, by an enrolled employee or annuitant who 
is eligible to continue enrollment, of filing a Health Benefits Plan Enrol- 
lment Form, terminating enrollment in a health benefits plan. 

(j) "Administrative action" is the completion or approval, by the 
Health Benefits Division, of a Health Benefits Plan Enrollment Form ter- 
minating or changing the enrollment of an employee, annuitant, or family 
member in accordance with the provisions of this subchapter. 

(k) "Eligible" means eligible under the law and this subchapter to be 
enrolled. 

(/) "Retirement System" means the Public Employees' Retirement 
System, the State Teachers' Retirement System, the Legislators' Retire- 
ment System, or the Judges' Retirement System, as the case may be, un- 
der which a retired person has acquired the status of "annuitant." 



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§ 599.501 



• 



(m) Tenses and Number. The present tense includes the past and fu- 
ture, and the future the present; the singular includes the plural and the 
plural the singular. 

(n) A child attains the status of "family member" at birth. In addition 
to "family member," as defined in Section 22775, Government Code, 
"family member" includes any unmanied child who is economically de- 
pendent upon the employee or annuitant, when there exists a parent-child 
relationship with the employee or annuitant. He or she ceases to be a 
"family member" upon marriage or attainment of age 23, whichever first 
occurs; except that an unmarried child who at the time of attaining age 
23 is incapable of self-support because of physical or mental disability 
which existed continuously from a date prior to attainment of age 23 con- 
tinues in family member status until termination of such incapacity. 

(0) Meanings of terms related to Medicare are as follows: 
"Medicare" means the Health Insurance For The Aged provided under 

Title XVIII of the Social Security Act; "Part A" means Hospital Insur- 
ance as defined in Title XVIII of the Social Security Act; and "Part B" 
means Medical Insurance as defined in Title XVIII of the Social Security 
Act. 

(p) "Supplemental Plan" means a health benefits plan providing 
supplemental benefits for persons enrolled under Medicare Parts A and 
B. 

(q) "Health benefits plan" or "plan" means a health benefits plan con- 
tracted for or approved by the Board pursuant to Sections 22793, 22850 
and 22853, Government Code. 

(r) "Conversion plan" means a nongroup contract offered by the carri- 
er as its standard individual membership plan. 

(s) "Control Period" means a period from January 1 through June 30 
or July 1 through December 31. 

(t) "Alternative benefit plan" means a health benefits plan approved, 
or contracted for, by the Board exclusively for employees or annuitants 
of contracting agencies pursuant to Section 22850(f)(2) of the Govern- 
ment Code. 

NOTE; Authority cited: Sections 22794, 22796, 22800, 22830, 22831, 22846(a) 
and 22860, Government Code. Reference-. Sections 22750-22944, Government 
Code. 

History 

1. Amendment filed 6-15-79; designated effective 8-1-79 (Register 79, No. 24). 
For prior history, see Register 74, No. 36. 

2. Amendment filed 6-27-80; designated effective 8-1-80 (Register 80, No. 26). 

3. Amendment of subsections (j) and (o)-(s) filed 6-9-86; effecrive thirtieth day 
thereafter (Register 86, No. 24). 

4. New subsection (t) filed 4-13-2004 as an emergency; operative 4-13-2004 
(Register 2004, No. 16). A Certificate of Compliance must be transmitted to 
OAL by 8-11-2004 or emergency language will be repealed by operation of 
law on the following day. 

5. Certificate of Compliance as to 4-13-2004 order transmitted to OAL 8-3-2004 
and filed 9-15-2004 (Register 2004, No. 38). 

6. Change without regulatory effect amending subsections (a), (n), (q) and (t) and 
amending Note filed 10-31-2006 pursuant to section 100, title 1, California 
Code of Regulations (Register 2006, No. 44). 

7. Amendment of subchapter heading, new article 1 heading and amendment of 
first paragraph and subsection (a) filed 1-26-2007; operafive 1-26-2007 pur- 
suant to Government Code secdon 1 1343.4 (Register 2007, No. 4). 

§ 599.501 . Coverage. 

(a) Each employee or annuitant other than those excluded by subsec- 
tions (b) or (c) below, is eligible to be enrolled in a health benefits plan 
at the times and under the conditions prescribed in this subchapter, pro- 
vided however that no person shall be enrolled in a supplemental plan 
who at the time of enrollment is not also enrolled under Part A and Part 
B of Medicare. An eligible employee or annuitant enrolled in both Parts 
A and B of Medicare, or who has a family member who is so enrolled, 
may be enrolled in a basic plan contracted for by the Board with respect 
to persons not enrolled in Parts A and B, and in a supplemental plan pro- 
vided by the same carrier with respect to all persons enrolled in Parts A 
andB. 

(b) Employees in the following groups are not eligible: 

(1) Employees serving under: 



(A) Intermittent appointments except where employment is on a per- 
manent basis. 

(B) Appointinents to positions for which contributions are made by the 
employer to health and welfare programs providing prepaid hospital and 
inedical care in accordance with Sections 14876 and 18853.5 of the Gov- 
ernment Code, or Section 1705.5 of the Harbors and Navigation Code, 
or other similar provisions; or appointments to positions for which salary 
payment is made in lieu of payment to health and welfare programs pro- 
viding prepaid hospital and medical care; or 

(C) Appointments to positions not exceeding six months duration un- 
less the employee is enrolled prior to beginning service under such ap- 
pointment or unless the appointment is in lieu of a permanent appoint- 
ment pending establishment of and certification from a list from which 
the position may be filled. 

(2) Inmates of institutions who are allowed compensation for such ser- 
vices as they are able to perform. 

(3) Persons employed as student assistants and graduate assistants and 
as student aids in special schools in the State Department of Education 
and Vocational Rehabilitation, and the public schools of the State. 

(4) Blind persons and other physically handicapped persons employed 
by the California Industries for the Blind, or in opportunity centers for the 
blind by the Department of Education who are not civil service em- 
ployees. 

(5) Persons serving at a State college solely as a teacher in any summer 
session or intersession for which compensation is specifically attribut- 
able to such service in summer session or intersession. 

(6) Any member of the Veterans' Home of California who is employed 
by said Home, or by the Post Exchange thereof or in other Post Fund acti- 
vities, except as an employee of a contracting agency. 

(7) Any employee paid wholly from funds not controlled by the em- 
ployer or from revolving or similar funds from which regular payroll de- 
duction of the insurance premium cannot be made. 

(8) Employees of a contracting agency who are not members of the 
Public Employees' Retirement System or the State Teachers' Retirement 
System. 

(c) Annuitant whose monthly allowance is insufficient to pay with- 
holdings required under the lowest cost plan available is not eligible. 

(d) Annuitants whose effective date of retirement is more than 120 
days after their date of separation from employment are not eligible. 

(e) Annuitants who were not enrolled at the time of separation from 
employment are not eligible. 

(0 A family member who is a disabled child over age 23 is to be en- 
rolled at the time of the initial enrollment of the employee or annuitant. 

(g) A family member who is a disabled child over age 23 is to be con- 
tinued in enrollment only if he or she is then enrolled, provided that no 
such child shall continue to be enrolled unless satisfactory evidence of 
such disability is filed with the Board during the period commencing 60 
days before and ending 60 days after the effective date of the initial enrol- 
lment or the child's 23rd birthday, whichever is pertinent. 

(h) The Board shall make determinations of the applicability of this 
section to specific employees or annuitants, or groups of employees or 
annuitants. 

(i) A family member who is not acceptable for enrollment under the 
underwriting standards of the carrier where application for enrollment is 
under Section 599.502(c) or (f)(1)(B) is ineligible to be enrolled except 
during an open enrollment period. 

NOTE: Authority cited: Secfions 22794, 22796, 22800, 22830, 22831, 22846(a) 
and 22860, Government Code. Reference: Sections 22760(h), 22775, 22800, 
22819, 22830, 22831, 22832 and 22837, Government Code. 

History 

1. Amendment of subsections (e)(2) and (f) filed 8-5-76; effective thirtieth day 
thereafter (Register 76, No. 32). For prior history, see Register 75, No. 49. 

2. Amendment filed 6-15-79; designated effective 8-1-79 (Register 79, No. 24). 

3. Amendment filed 6-27-80; designated effective 8-1-80 (Register 80, No. 26). 

4. Amendment filed 6-9-86; effective thirtieth day thereafter (Register 86, No. 

24). 



Page 57 



Register 2007, No. 4; 1-26-2007 



§ 599.502 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



5. Change without regulatory effect amending subsection (c) and Note filed 
10-31-2006 pursuant to section 100. title 1, California Code of Regulations 
(Register 2006, No. 44). 

§ 599.502. Enrollment. 

(a) Type of Etiroilment. An eligible employee or annuitant may enroll 
for self alone, self and one family member or self and two or more family 
members. If he or she enrolls for other than self alone, he or she shall en- 
roll all eligible family members. All eligible family members shall be en- 
rolled under the enrollment of only one employee or annuitant. The fol- 
lowing family members are not required to be enrolled: 

(1) A family member covered under another basic group plan that is 
not contracted for or approved by the Board; 

(2) A family member who is a spouse not living in the member's 
household; or 

(3) A family member who is a child who has attained the age of 18; or 

(4) A family member who is a member of the armed forces. 

(5) A plan shall not be liable for benefits for a family member, other 
than as provided in Sections 599.502(f)(1)(E) and 599.503(d), nor shall 
an employee or annuitant be obligated for an increased premium or 
charge because of such member unless he or she has been included by 
name in the employee's or annuitant's enrollment. 

(6) Upon discovery that a family member required to be enrolled has 
not been so included, except as provided in Sections 599.502(f)(1)(E) 
and 599.503(d), the employee or annuitant shall be given notice that all 
coverage of family members will cease on the last day of the following 
month unless he or she has changed his or her enrollment to include such 
family members prior to the cessation of such coverage. 

(b) Initial Enrollment. 

(i) An eligible employee shall enroll or register not to enroll no later 
than his or her 60th calendar day of employment or reemployment fol- 
lowing a break in service of at least one full monthly pay period. 

(2) A permanent intermittent employee shall enroll or register not to 
enroll no later than 60 calendar days following the end of a control period 
in which he or she received credit for a minimum of 480 paid hours. 

(3) An annuitant or an employee who is brought within coverage of the 
Act shall enroll or register not to enroll within sixty days of notice of eli- 
gibility. 

(4) An employee who is on leave of absence without compensation, 
temporary disability compensation whether or not supplemented by sick 
leave or vacation, or Non-industrial Disability Leave, or Industrial Dis- 
ability Leave, or other non-pay status, may not enroll while in such status 
but shall enroll or register not to enroll within 60 days of his or her return 
to pay status, if he or she would otherwise have been eligible to enroll dur- 
ing the nonpay status. 

(5) An employee of a contracting agency which has filed an election 
to be subject to the Public Employees' Medical and Hospital Care Act, 
including an employee of such agency who was on leave of absence or 
other non-pay status and was enrolled in a health benefits plan of the 
agency, but shall enroll or register not to enroll no later than the 60th cal- 
endar day following such agency's effective date of participation under 
the Act. 

(6) An annuitant who retired while an employee of a contracting 
agency which has elected to be subject to the Public Employees' Medical 
and Hospital Care Act, and whose retirement is effective on or prior to 
the effective date of such election, may enroll no later than the 60th calen- 
dar day following notification of eligibility. 

(7) An employee whose enrollment did not become effective under the 
provisions of Section 599.503(a) because of failure to accomplish pre- 
mium deductions may enroll within 60 calendar days of notification of 
right to enroll. 

(c) Health Statement Enrollment: 

An eligible employee may enroll at any time while in an employment 
in which he or she was eligible to but did not enroll at the time specified 
in this subsection, and an eligible annuitant may enroll if at the time of 
enrollment he or she presents a certification from the carrier of the plan 



that his or her enrollment is acceptable under the underwriting standards 
of the carrier. 

(d) Re-enrollment: 

(1) An employee whose enrollment terminated under Section 
599.506(a)(5) may enroll within 60 calendar days following the end of 
a control period in which he or she received credit for a minimum of 480 
paid hours. 

(2) An employee whose enrollment terminated because of administra- 
tive failure to continue payroll deducfions under Section 
599.506(a)( 1 )(B) may enroll within 60 calendar days of receipt of notifi- 
cation of termination. 

(3) A person whose enrollment terminated upon separation from em- 
ployment and who is retired with an effective date no later than 1 20 days 
following the date of separation, may enroll as an annuitant within 60 cal- 
endar days of receipt of notification of eligibility or during any open en- 
rollment period. 

(4) An annuitant whose enrollment terminated under Section 
599.506(d) because his or her retirement allowance was not sufficient to 
pay the withholdings of any plan in which he or she was eligible to be en- 
rolled may re-enroll within 60 calendar days of notification that his or her 
retirement allowance is sufficient to pay the withholdings of a plan in 
wliich he or she is eligible to be enrolled. 

(e) The Board will, at least once every three years, provide every em- 
ployee and annuitant previously enrolled or eligible to enroll or continue 
enrollment an opportunity for enrollment, and every enrolled employee 
and annuitant an opportunity for change of enrollment, on such terms and 
conditions as it may prescribe. 

(f) Change of Enrollment. 

(1)(A) An enrolled employee or annuitant may, prior to, at the time of, 
or within 60 calendar days after acquiring his or her first eligible family 
member required to be enrolled, change his or her enrollment to include 
all family members required to be enrolled. 

(B) An enrolled employee or annuitant may change his or her enrol- 
lment to include all ehgible family members required to be enrolled who 
are acceptable for enrollment under underwriting standards of the carrier 
if at the time of such change he or she presents a certification of such ac- 
ceptability from the carrier of the plan in which he or she is enrolled or 
if such change of enrollment is made during an open enrollment period. 

(C) A family member who is not enrolled because of other group cov- 
erage or because such person is a spouse not living in the employee's or 
annuitant's household may not thereafter be enrolled as a family member 
except during an open enrollment period or pursuant to the carrier's certi- 
fication of acceptability under its underwriting standards. 

(D) A family member who is a child who has attained the age of 1 8 and 
who is not enrolled may not be enrolled except upon return from military 
service as provided in Section 599.502(f)(2), or pursuant to the carrier's 
certification of acceptability under underwriting standards, or during an 
open enrollment period. 

(E) Notwithstanding any other provision of this subchapter, an em- 
ployee or annuitant enrolled for self only may enroll a newborn or 
adopted child provided application for enrollment is received within 60 
calendar days of the date of birth or the date physical custody was ob- 
tained. The coverage of a newborn or adopted child of an employee or 
annuitant enrolled for self only begins on the date of birth or the date 
physical custody is obtained and ends on the last day of that month unless 
an application to enroll that child is received. 

(2) An employee or annuitant may at any fime change his or her enrol- 
lment from self and family to self alone, or delete an eligible family mem- 
ber who is a child who has attained the age of 1 8 or enters military service. 
An employee or annuitant may decrease "family member" enrollment 
from self and two or more to self and one family member on or after the 
day on which the last family member in excess of one: 

(A) ceases to be a family member; 

(B) becomes enrolled in another basic group plan; or 



Page 58 



Register 2007, No. 4; 1-26-2007 



Title 2 



Public Employees' Retirement System Board 



§ 599.502 



(C) in case of a spouse, ceases to live in his or her household or enters 
military service. 

A spouse whose enrollment is terminated on the basis of ceasing to live 
in the household may not be enrolled thereafter except during an open en- 
rollment period or pursuant to the carrier's certification of acceptability 
under its underwriting standards. A family member who is a spouse or 
a child who was deleted from an employee's or annuitant's enrollment 
upon entering military service or was in military service at the time of ini- 
tial enrollment or at the time he or she became a family member may be 



enrolled upon return from military service. 

When a mandatory change of enrollment results in a retroactive can- 
cellation or deletion of enrollment and creates a difference in premium 
based on the date a family member became ineligible for coverage and 
the date an employee or annuitant changed his or her enroll ment to delete 
the ineligible family member, the employer and employee or annuitant 
may receive a refund. The amount of the refund shall not exceed those 
excess premiums paid for a period of up to six months prior to the date 



• 



[The next page is 59.] 



Page 58.1 



Register 2007, No. 4; 1-26-2007 



Title 2 



Public Employees' Retirement System Board 



§ 599.503 



• 



on which the action is processed and recorded, pursuant to the em- 
ployee's or annuitant's request for retroactive cancellation or deletion of 
the ineligible family member. 

(3) An employee or annuitant who is not enrolled, but is covered under 
the Public Employees' Medical and Hospital Care Act and this subchapt- 
er by enrollment of a spouse, may enroll in the same plan as was the 
spouse for self alone or self and eligible family members within 60 calen- 
dar days after termination of the spouse's enrollment. An employee who 
is not enrolled, but is covered by the enrollment of a parent, may enroll 
in any plan available within 60 calendar days after the termination of cov- 
erage as a family member. An employee or annuitant who is covered by 
enrollment of another under this subchapter may enroll in the same plan 
for self alone or self and eligible family members within 60 calendar days 
after the effective date of a change terminating his or her enrollment. 

(4) An employee who is enrolled as an annuitant and whose status as 
an annuitant terminates, may enroll in the same plan under which he or 
she was covered as an annuitant, in a manner which will continue cover- 
age. 

(5)(A) An employee or annuitant who is enrolled in a plan with a re- 
stricted geographic service area and who moves, including all enrolled 
family members, or changes employment address may, within 3 1 calen- 
dar days before the move and ending 60 calendar days after the move, en- 
roll in another health benefits plan. 

(B) An employee or annuitant who is enrolled in a plan with a re- 
stricted geographic service area and who moves, and whose enrolled 
family members do not move, may, within 31 calendar days before the 
move and ending 60 calendar days after the move, enroll in another 
health benefits plan. 

(C) An employee or annuitant who is enrolled in a plan with a re- 
stricted geographic service area and whose enrolled family members 
move, may within 3 1 calendar days before the move and ending 60 calen- 
dar days after the move, enroll in another health benefits plan. 

(D) An employee or annuitant who moves into, or commences em- 
ployment within, the service area of a plan with a restricted geographic 
service area may change his or her enrollment to that plan within the peri- 
od beginning 31 calendar days before and ending 60 calendar days after 
the move. 

(E) An employee or annuitant enrolled in a supplemental plan who 
moves, other than temporarily, out of the United States as defined in the 
Federal Social Security Act, may change his or her enrollment to the ba- 
sic plan provided by the carrier of the supplemental plan. 

(6) An employee or annuitant who is enrolled in a health benefits plan 
which ceases to be an approved health benefits plan may enroll in another 
plan at any time within 60 calendar days after the date set by the Board 
for withdrawal of its approval of the plan. 

(7) When an employee or annuitant enrolled for self and family dies, 
leaving a family member as an annuitant entitled to enrollment in a health 
benefits plan, the enrollment shall continue by enrollment of the surviv- 
ing annuitant. The family member annuitant may change or cancel the 
enrollment providing he or she does so within 60 calendar days of notifi- 
cation of continuation. The effective date of the change or cancellation 
shall be the first of the month following the death. 

(8) For purposes of this subsection (f) and subsection (a) of this sec- 
tion, a change in custody of a child, whether or not accompanied by a 
change in economic dependency, at the option of the enrolled employee 
or employees may be considered to terminate or begin eligibility of the 
child as a family member of the employee or employees affected by the 
change in custody. 

(9) An employee whose enrollment was continued under Section 
599.504(b), (c), (d), (e) or (g) may within 60 days of return to pay status 
make any change in enrollment which he or she could have made had he 
or she been in pay status during the continuation. 

(10) Upon a determination by the Board or the Executive Officer that 
an employee or annuitant is unable to maintain a satisfactory physician- 
patient or plan-employee-annuitant relationship, the Board or Executive 
Officer may permit a change of enrollment to another plan. 



(1 1) An employee may add or delete family members under the provi- 
sions of this section during a period of continuation of enrollment under 
the provisions of Section 599.504. 

(12) Enrollment of any person in a supplemental plan may not be 
changed to enrollment in a basic plan unless there is an involuntary termi- 
nation of Medicare benefits or as provided in subdivision (f)(5)(E) of this 
section. 

(g) Multiple Enrollment. 

(1) A family member may be enrolled with respect to only one em- 
ployee or annuitant. An employee or annuitant, who is also a family 
member of an employee or annuitant, may not be enrolled both as an em- 
ployee or annuitant and a family member. Enrollment as a family mem- 
ber continues upon entry into employment unless the person enrolls un- 
der the rules applicable to employees, in which event enrollment as a 
family member terminates on the effective date of enrollment as an em- 
ployee. 

(2) An annuitant who would otherwise also be eligible to enroll as an 
employee must enroll as an annuitant; however, an annuitant who fails 
to enroll under rules applicable to annuitants and who subsequently be- 
comes an employee, may enroll under rules applicable to employees. 

(3) Employees who are employed in more than one position with an 
employer or employed by more than one employer may enroll with re- 
spect to one position or employer only. 

(4) Employees and annuitants may not enroll in more than one plan. 
For the purposes of this subsection, one plan includes a combination of 
basic or supplemental plans. Where an employee or annuitant has filed 
more than one enrollment form, in the absence of specific instruction 
from the employee or annuitant to the contrary, the last enrollment form 
filed shall be taken as indicating the plan in which the employee desires 
to enroll. 

(h) Late Enrollment or Change of Enrollment. Upon a determination 
by the Board or the Executive Officer that an employee or annuitant was 
unable, for cause beyond his or her control, to enroll or to change enrol- 
lment within the time limits prescribed by this subchapter, the Board 
shall accept his or her enrollment or change of enrollment provided he 
or she enrolls or changes enrollment within 3 1 days after he or she is first 
able to do so. 

(i) Procedure. The employing office will afford each eligible em- 
ployee and annuitant an opportunity to enroll or to register not to enroll 
during such times as his enrollment is authorized under these rules by 
supplying the necessary information relating to available plans and by as- 
sisting in the completion of a health benefits plan enrollment form. The 
employing office will forward all such forms properly completed to the 
Board's Health Benefits Division. 

NOTE: Authority cited: Sections 22794, 22796, 22803, 22830, 22846 and 22860, 
Government Code. Reference: Sections 22830, 22831, 22832, 22834, 22836, 
22837, 22839, 22840, 22841, 22842, 22843, 22844, 22846, 22847 and 22848, 
Government Code. 

History 

1 . Amendment of subsections (c), (d)(3), and (f)(1)(D) filed 8-5-76; effective thir- 
tieth day thereafter (Register 76, No. 32). For prior history, see Register 75, No. 
49. 

2. Amendment filed 6-15-79; designated effective 8-1-79 (Register 79, No. 24). 

3. Amendment filed 6-27-80; designated effective 8-1-80 (Register 80, No. 26). 

4. Amendment of subsections (a)-(d) and (0 filed 6-9-86; effective thirtieth day 
thereafter (Register 86, No. 24). 

5. Amendment of subsections (0(5)(A)-(D) filed 10-4-2001 as an emergency; 
operative 10-4-2001 (Register 2001, No. 40). A Certificate of Compliance 
must be transmitted to OAL by 2-1-2002 or emergency language will be re- 
pealed by operation of law on the following day. 

6. Certificate of Compliance as to 10-4-2001 order transmitted to OAL 2-1-2002 
and filed 3-18-2002 (Register 2002, No. 12). 

7. Amendment of subsecfion (f)(2)(C) and amendment of Note filed 6-24-2005; 
operative 6-24-2005 pursuant to Government Code section 11343.4 (Register 
2005, No. 25). 

§ 599.503. Effective Date of Enrollment. 

(a) Normal Effective Date. The effective date of enrollment, re-entol- 
Iment, or change of enrollment shall be the first of the month following 
the date the employee or annuitant's Health Benefits Plan Enrollment 



Page 59 



Register 2006, No. 44; 11-3-2006 



§ 599.504 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



Form is received in the employing office, subject to deferral under sub- 
section (b) of this section. An enrollment shall not become effective if 
payroll deduction is not accomplished within six months following the 
date on which such enrollment would normally have become effective. 

(b) Deferred Effective Date. The effective date of enrollment of an em- 
ployee or annuitant who, in the month preceding that in which his or her 
enrollment would otherwise be effective, has insufficient earnings after 
all other mandatory deductions to permit deduction of his or her full con- 
tributions, shall be the first day of the month following that in which his 
or her earnings after other mandatory deductions are sufficient to permit 
such deduction. This applies to an employee hired on the last day of the 
month which is also the first day of a pay period. 

(c) Effective Date of Enrollment by Certification of Acceptability. The 
effective date of enrollment, re-enrollment or change of enrollment for 
an employee or annuitant with respect to whom a certification of accept- 
ability is received by his or her employing office shall be the first day of 
the following month subject to deferral under subsection (b) of this sec- 
tion. 

(d) Effective Date of Enrollment of a Newborn Child or Adopted Child 
of an Employee or Annuitant Enrolled for Self and One or More Family 
Members. Notwithstanding the effective date of enrollment as otherwise 
specified in this section, and without requirement of any prior enrolling 
action, enrollment of a newborn child or adopted child of an employee 
or annuitant who has enrolled family members shall be effective on the 
date of birth or the date physical custody is obtained, and any increase in 
premium because of the addition of such family member shall be effec- 
tive on the first of the following month. 

(e) Effective Date of Enrollment of an Annuitant on Approval of Re- 
tirement. The effective date of enrollment of an annuitant under Section 
599.502(d)(3) is the first of the month following the month in which re- 
tirement is approved, but in no event earlier than the first day of the month 
following the effective date of retirement. 

(f) Effective Date of Enrollment of an Eligible Family Member (other 
than an adopted or newborn child). The effective date of a change of en- 
rollment adding an eligible family member, other than an adopted or a 
newborn child, shall be the first of the month following the date the 
Health Benefits Plan Enrollment Form is received in the employing of- 
fice. Enrollment of an eligible family member may not be earlier than the 
first day of the month following the acquisition of the family member. 

(g) Contracting Agency Employees and Annuitants. Enrollments of a 
contracting agency's employees and annuitants which are received in the 
office of the Board on or before the last day of the month immediately 
preceding the effective date of the agency's participation under the Act 
shall be effective on the effective date of such agency participation. 

(h) Effective Date of Enrollment of a Newborn Child or Adopted Child 
of an Employee or Annuitant Enrolled for Self Only. The effective date 
of enrollment of a newborn or adopted child of an employee or annuitant 
enrolled for self only shall be the first day of the month following the date 
of birth or the date physical custody is obtained. Any premium increase 
resulting from the enrollment of such child shall be due from the effective 
date of enrollment. 

(i) Effective Date in Open Enrollment Period. The effective date of en- 
rollment in special or limited open enrollment period shall be fixed by the 
Board in its action providing such open enrollment period. 
NOTE: Authority cited: Sections 22794, 22796, 22846(a) and 22860, Government 
Code. Reference: Section 22846(a), Government Code. 

History 

1 . Amendment filed 6-15-79; designated effecfive 8-1-79 (Register 79, No. 24). 
For prior history, see Register 75, No. 19. 

2. Amendment filed 6-27-80; designated effective 8-1-80 (Register 80, No. 26). 

3. Amendment of subsections (e) and (g)-(j) filed 6-9-86; effective thirtieth day 
thereafter (Register 86, No. 24). 

4. Change without regulatory effect amending subsection (d) and Note filed 
10-31-2006 pursuant to section 100, title 1, California Code of Regulations 
(Register 2006, No. 44). 



§ 599.504. Continuation of Enrollment. 

Subject to the right of an employee or annuitant to cancel his or her en- 
rollment at any time, the enrollment of an employee or annuitant contin- 
ues without change when he or she: 

(a) returns to covered employment without a break in service of one 
or more full monthly pay periods. 

(b) is granted a leave of absence without pay under the State Civil Ser- 
vice Act and the rules of the Department of Personnel Administration for 
a period of one or more full monthly pay periods including leaves of ab- 
sence for military duty, or other comparable leave, or begins an absence 
for which he or she has applied for temporary disability compensation, 
provided he or she files with the Board application for continuation of en- 
rollment prior to the commencement of the leave, or no later than the last 
day of the month following the month in which the last payroll deduction 
was taken. 

(c) institutes legal proceedings in appealing dismissal from service for 
cause, provided he or she files with the Board application for continua- 
tion of enrollment no later than the last day of the month following the 
month in which the last payroll deduction was taken. 

(d) is suspended from service for one or more full monthly pay periods 
without pay, provided he or she files with the Board application for con- 
tinuation of enrollment no later than the last day of the month following 
the month in which the last payroll deduction was taken. 

(e) receives in any monthly pay period insufficient compensation, af- 
ter all other mandatory deductions, to permit deduction of his or her full 
contribution providing proper application for continuation of enrollment 
is filed no later than the last day of the month following the month in 
wliich the last payroll deduction was taken. 

(f) applies for disability redrement and files an application for continu- 
ation of enrollment no later than the last day of the month following the 
month in which the last payroll deduction was taken. Upon receipt of pre- 
miums from the retirement system, the carrier shall refund overpayments 
to the annuitant. 

(g) first attains the status of "annuitant." The Retirement System shall 
continue the enrollment unchanged and the annuitant contributions re- 
quired under the plan shall be deducted from the annuitant's retirement 
allowance. 

(h) enters nonpay status as a permanent employee of a State college 
employed on a less-than-twelve-month basis, provided he or she files 
application for continuation of enrollment with the Board no later than 
the last day of the month following the month in which the last payroll 
deduction was taken. 

If an enrolled employee or annuitant is not competent to act, the guard- 
ian, conservator, or person having special power of attorney of such en- 
rolled employee or annuitant may act on his or her behalf to accomplish 
continuation of any enrollment permitted by this section. 

Failure to file an application for continuation or failure to pay pre- 
miums after filing an application will result in loss of coverage for any 
period for which premiums were not paid. 

NOTE: Authority cited: Sections 22794, 22796 and 22846(a), Government Code. 
Reference: Section 22846(a), Government Code. 

History 

1 . Amendment of subsection (f) filed 8-5-76; effective thirtieth day thereafter 
(Register 76, No. 32). For prior history, see Register 71, No. 3. 

2. Amendment filed 6-15-79; designated effective 8-1-79 (Register 79, No. 24). 

3. Amendment filed 6-27-80; designated effective 8-1-80 (Register 80, No. 26). 

4. Amendment filed 6-9-85; effective thirtieth day thereafter (Register 86, No. 
24). 

5. Change without regulatory effect amending Note filed 10-31-2006 pursuant 
to section 100, title I , California Code of Regulations (Register 2006, No. 44). 

§ 599.505. Cancellation of Enrollment. 

(a) An enrolled employee or annuitant may cancel his or her enrol- 
lment at any time by filing with his or her employing office a properly 
completed Health Benefits Plan Enrollment Form requesting such can- 
celladon. The effective date of cancellation shall be midnight of the last 



Page 60 



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Title 2 



Public Employees' Retirement System Board 



§ 599.508 



• 



day of the month in which the enrollment form is received by the employ- 
ing office. 

(b) Upon cancellation, an employee or annuitant and the members of 
his or her family are not entitled to convert to an individual health benefits 
contract. 

NOTE: Authority cited: Sections 22794, 22796 and 22846(a), Government Code. 
Reference: Section 22846(a), Government Code. 

History 

1. Amendment of subsections (a) and (c) filed 6-15-79; designated effective 
8-1-79 (Register 79. No. 24). For prior history, see Register 69, No. 8. 

2. Amendment of subsections (a) and (c) filed 6-27-80; designated effective 
8-1-80 (Register 80, No. 26). 

3. Repealer of subsection (c) filed 6-9-86; effective thirtieth day thereafter (Regis- 
ter 86, No. 24). 

4. Change without regulatory effect amending NOTE filed 10-31-2006 pursuant 
to section ]00, title 1, California Code of Regulations (Register 2006, No. 44). 

§ 599.506. Termination of Enrollment. 

(a) An employee's enrollment ceases at midnight of the earliest of the 
following dates: 

(1) The last day of the month following the month in which: 

(A) employment is terminated either by resignation or by his or her 
agency for reasons other than for cause; 

(B) the last payroll deduction was taken when payroll deduction was 
discontinued through administrative error if such deduction was not tak- 
en for a continuous period of six months; 

(2) Where enrollment has been continued while appealing dismissal 
from service for cause, under the provisions of Section 599.504, the last 
day of the month in which such appeal action or actions has or have been 
terminated with the dismissal being upheld or in which the Board deter- 
mines that the employee has ceased to diligently pursue his or her appeal. 

(3) The last day of the month following the month in which employ- 
ment status changes so that he or she is excluded from enrollment. 

(4) The last day of the month in which he or she dies. 

(5) The last day of the month following the last month during which 
a permanent intermittent employee worked less than 480 hours during a 
six-month control period or 960 hours during a twelve-month control 
period. 

(6) The last day of the month in which application for disability retire- 
ment is denied or withdrawn by the employee where enrollment was con- 
tinued under Section 599.504(f) pending action on the application. 

(b) An annuitant's enrollment ceases at midnight of the earliest of the 
following dates: 

(1) The last day of the month in which he or she dies. 

(2) The last day of the month following the month in which he or she 
ceases to be in the status of "annuitant," unless he or she is eligible for 
enrollment as an employee in which case his or her enrollment will con- 
tinue under the plan in which he or she is enrolled. 

(c) The coverage of a family member under an employee's or annu- 
itant's enrollment ceases at midnight of the earliest of the following 
dates, unless he or she is eligible to enroll as an employee, in which case, 
if he or she enrolls within 60 calendar days after said date, his or her enrol- 
lment continues under the plan in which he or she enrolls: 

(1 ) The last day of the month in which he or she ceases to be a family 
member, or to be eligible for enrollment as a family member. The enrol- 
lment of an employee or annuitant shall not be changed by such termina- 
tion of coverage, and his or her contribution shall continue unchanged 
until he or she changes enrollment in the manner and at the time provided 
under Section 599.502(f)(2) or until an administrative document is pro- 
cessed. However, payment by the carrier of any difference between the 
premium paid between the date of termination of coverage and the effec- 
tive date of the change in enrollment, and that which would have been 
paid had the change in enrollment been effective on the date of termina- 
tion of coverage, shall not exceed those excess premiums paid for a peri- 
od of up to six months prior to the date on which the action is processed 
and recorded, pursuant to the employee's or annuitant's request for retro- 
active cancellation or deletion of the ineligible family member. Payment 
shall be made to the employer or the enrolled employee or annuitant as 



their interests appear and in such manner as may be directed by the Ex- 
ecutive Officer of the Board. 

(2) The day the employee or annuitant ceases to be enrolled, unless the 
family member continues to be enrolled as a surviving annuitant under 
the provisions of Section 599.502(f)(7). 

(3) On the effective date of an employee's or annuitant's change of en- 
rollment to decrease or terminate family member enrollment. 

(d) If the retirement allowance of an annuitant is not sufficient to pay 
the withholdings for the plan in which the annuitant is enrolled, the retire- 
ment system from which the allowance is being paid shall notify the an- 
nuitant of the plans available at a cost not in excess of the retirement al- 
lowance. The annuitant may enroll in another plan whose cost is no 
greater than his or her allowance, if such plan is available. If the annuitant 
does not or cannot elect a plan at a cost to him or her not in excess of the 
allowance, the enrollment of the annuitant shall cease, effective as of the 
end of the last month for which withholding was made. Each annuitant 
whose enrollment is so terminated is entitled to conversion pursuant to 
Section 599.507. 

(e) Whenever under this section enrollment terminates on the last day 
of the month and the monthly payroll period for a state department or 
agency does not coincide with the calendar month, enrollment ceases as 
of the last day of the calendar month most closely corresponding to the 
payroll month in which the event resulting in the termination occurs. 
NOTE: Authority cited: Sections 22794, 22796 and 22846, Government Code. 
Reference: Section 22846, Government Code. 

History 

1 . Amendment filed 6-15-79; designated effective 8-1-79 (Register 79, No. 24). 
For prior history, see Register 72, No. 24. 

2. Amendment filed 6-27-80; designated effective 8-1-80 (Register 80, No. 26). 

3. Amendment filed 6-9-86; effective thirtieth day thereafter (Register 86, No. 

24). 

4. Amendment of subsection (c)(1) and amendment of Note filed 6-24-2005; op- 
erative 6-24-2005 pursuant to Government Code section 11343.4 (Register 
2005, No. 25). 

§ 599.507. Conversion. 

An employee or annuitant whose enrollment is terminated other than 
by cancellation or withdrawal of his or her employer from participation 
in the Public Employees' Medical and Hospital Care Act, and any family 
member whose coverage terminated because of termination of enrol- 
lment of an employee or annuitant or because of loss of family member 
status, is entitled to the issuance of a conversion plan provided that appli- 
cation is made and the premium or other periodic charge is paid within 
one month of the date of termination of enrollment or termination of fam- 
ily member status, in which event coverage under the conversion plan 
shall become effective at 12:01 a.m. the day following such termination. 

Note: Authority cited: Sections 22794, 22796 and 22842, Government Code. 
Reference: Section 22842, Government Code. 

History 

1. Amendment filed 7-31-68 as an emergency; effective upon filing. (Register 68, 
No. 29). For prior history, see Register 67, No. 43. 

2. Certificate of Compliance— Section 1 1422. 1 , Gov. Code, filed 1 1 -27-68 (Reg- 
ister 68, No. 45). 

3. Amendment filed 6-15-79; designated effective 8-1-79 (Register 79, No. 24). 

4. Amendment filed 6-27-80; designated effective 8-1-80 (Register 80, No. 26). 

5. Amendment filed 6-9-86; effective thirtieth day thereafter (Register 86, No. 

24). 

6. Change without regulatory effect amending Note filed 10-31-2006 pursuant 
to section 100, title 1, California Code of Regulations (Register 2006, No. 44). 

§ 599.508. Minimum Standards for Health Benefits Plans. 

(a) To be qualified to be approved or adopted by the Board, a health 
benefits plan must: 

(1) Comply with the Public Employees' Medical and Hospital Care 
Act and this subchapter, as amended from time to time. 

(2) Accept enrollment, in accordance with this subchapter, without re- 
gard to physical condition, age, ethnic origin, religion or sex at the time 
of original group enrollment, of all eligible employees or annuitants, ex- 
cept that plans which are sponsored by employee organizations need not 
accept enrollment of persons who are not members of the organization. 



Page 61 



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§ 599.508 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



(3) Provide for coverage of enrolled employees and annuitants, and 
covered members of their families. 

(4) Extend to all employees, annuitants and family members who are 
eligible therefor the right, during the time allowed, to convert to a con- 
tract for health benefits regularly offered by the carrier, or an appropriate 
affiliate, for group conversion purposes. Such contract must, at the option 
of the employee, annuitant or family member, be continued in effect by 
the carrier except for fraud or nonpayment of contractual charges. 

Tlie contract shall, upon conversion, become effective as of the day 
following the date of termination of coverage, and the employee or annu- 
itant shall pay the entire cost thereof directly to the carrier. The nongroup 
contract may not deny or delay any benefit that it provides for a person 
converting from a plan approved under this subchapter, except to the ex- 
tent that benefits are continued under the health benefits plan from which 
he or she converts. 

The Board may request an extension of time for conversion because 
of delayed determination of ineligibihty for service retirement or disabil- 
ity retirement, in which case conversion must be permitted until the date 
specified by the Board in its request for extension. 

Any such conversion contract may provide for an adjustment of bene- 
fits with respect to any covered person at such age as he or she becomes 
eligible to participate in benefits provided under either Part A or Part B 
of Title XVIIl, Social Security Act. 

(5)(A) Provide that any person, whether employee, annuitant, or fami- 
ly member, whose enrollment terminates other than by voluntary cancel- 
lation or termination of the group agreement, and who, on the day of ter- 
mination is hospitalized, shall be granted a continuation of the benefits 
of the plan with respect to medical conditions that were present or pre- 
existing at the time of hospitalization or occurred during the hospitaliza- 
tion and which require continued hospitalization, but not beyond the 91st 
day following the termination. 

(B) Provide that any person, whether employee, annuitant, or family 
member, whose enrollment has been changed from one plan to another 
and who on the effective date of such change is hospitalized, shall be 
granted a continuation of the benefits of the prior plan with respect to 
medical conditions that were present or pre-existing at the time of hospi- 
talization or occurred during the hospitalization and which require con- 
tinued hospitalization, but not beyond the 9 1 st day following the last day 
of enrollment in the prior plan. Upon change of enrollment to the plan of 
a person so hospitalized on the effective date of the change, benefits with 
respect to the cause of such hospitalization shall not be paid or provided 
while that person is entitled to continuance of benefits under the prior 
plan, but all other benefits will be paid during such period. 

(C) Provide that any person whether employee, annuitant or family 
member who is totally disabled on the date of termination of the group 
contract, shall be granted a continuation of the benefits of the plan with 
respect to the cause of such total disability for up to 12 months after the 
date of termination, subject to plan maximums and provisions. 

(6) Provide that each employee and annuitant who enrolls in a plan re- 
ceive evidence of enrollment in a form to be approved by the Board, sum- 
marizing the conditions of the plan including but not limited to, those 
concerning benefits, claims, and payment of claims. 

(7) Provide a standard rate structure which contains one standard indi- 
vidual rate, one standard rate for employees and annuitants with one de- 
pendent, and one standard rate for employees and annuitants with two or 
more dependents, without geographical or other variation. Notwith- 
standing the foregoing, and subject to the approval of the Board, a health 
benefits plan may charge contracting agency employees and annuitants 
rates that are based on regional variations in the costs of health care ser- 
vices. 

(8) Maintain statistical records regarding the plan as are agreed to by 
the Board, separately from those of any other activities or benefits con- 
ducted or offered by the carrier administering the plan, so as to reveal the 
utilization of benefits under the plan, the gross and net cost of such bene- 
fits, and the administrative cost experienced under the plan as it pertains 
to employees and annuitants enrolled under this subchapter. 



(9) Provide for payment to a special reserve, as of the end of any con- 
tract period, of so much of the contributions and other income attribut- 
able to the plan as exceeds the sum incun^ed for benefit payments, admin- 
istrative expenses, premium and other taxes, risk charges, and other 
retention charges. Upon the request of the Board, made after a public 
hearing on the question, contribution rates must be reduced and/or bene- 
fits increased, whichever is appropriate in Judgment of the Board, when- 
ever the special reserve exceeds the latest three calendar months' contri- 
butions paid under the plan. In determining the amount of incurred 
benefits paid under the plan, reasonable reserves may be established for 
pending claims and incurred but unreported claims. All such claim re- 
serves, and the special reserves, must be accounted for separately from 
reserves maintained by the carrier for other plans. Income derived from 
the investment of the special reserves shall be credited to the reserves at 
100% of the plan's annual corporate rate of interest. Income reasonably 
attributable to investment of claim reserves shall be taken into account 
in determining the amount of retention charges. In the event the contract 
is terminated, the underwriting or obligation under the plan is assumed 
by a different carrier, or approval of the plan is withdrawn, the special re- 
serve and such portion of any claim reserves as are not finally utilized in 
the payment of benefits under the plan shall be paid into the Public Em- 
ployees' Contingency Reserve Fund for the benefit of the plan, and the 
Board may then transfer such reserves to successor plans and/or carriers 
on such basis as it determines to be equitable after a public hearing held 
within 18 months following the effective date of the plan's termination, 
withdrawal of approval, or transfer to a different carrier. For a carrier pro- 
viding service benefits, the board may approve the use of other equitable 
and practical financial procedures. For plans that are community-rated, 
the carrier shall, in lieu of being subject to the foregoing provisions of this 
paragraph, agree to furnish such financial and accounting reports and to 
follow such recording procedures as may be requested by the Board and 
that are consistent with the normal operations of the plan. 

(10) Provide that in the event an employee or annuitant is dissatisfied 
with the amount paid or service rendered pursuant to his or her claim on 
his or her behalf or on behalf of a family member and so requests, repre- 
sentatives of the parties including a representative of the Board will con- 
fer in an effort to reach a settlement, provided that no agreement reached 
by such conferees shall bind the employee, annuitant, or carrier without 
each party's consent or bar any remedy otherwise available. 

(b) To be quahfied to be approved by the board, a health benefits plan 
must not: 

(2) Have an initiation, service, enrollment, or other fee or charge in ad- 
dition to the rate charged for the plan, except that notwithstanding sub- 
paragraph (b)(1) of this section, comprehensive group practice prepay- 
ment plans and individual practice prepayment plans may impose an 
additional charge to be paid directly by the employee or annuitant for cer- 
tain medical supplies and services, if the supplies and services on which 
additional charges are imposed are clearly set forth in advance and are 
applicable to all employees and annuitants. This subparagraph does not 
apply to charges for membership in employee organizations sponsoring 
plans. 

NOTE: Authority cited: Sections 22794 and 22796, Government Code. Reference: 
Sections 22796, 22850(0(1) and 22864(b)(3), Government Code. 

History 

1. Amendment of subsection (a)(2) filed 1-13-71; designated effective 4-1-71 
(Register 71, No. 3). For prior history see Register 67, No. 43. 

2. Amendment of subsection (a)(9) filed 12-2-75; effective thirtieth dav thereafter 
(Register 75, No. 49). 

3. Amendment of subsections (a)( 1 )-(a)(4), (a)(7) and (b)( 1) filed 6- 1 5-79; desig- 
nated effective 8-1-79 (Register 79, No. 24). 

4. Amendment filed 6-27-80; designated effecfive 8-1-80 (Register 80, No. 26). 

5. Amendment of subsection (a) filed 6-9-86; effective thirtieth day thereafter 
(Register 86, No. 24). 

6. Amendment of subsections (a)(2)-(3) filed 10-^2001 as an emergency; opera- 
tive 10^4-2001 (Register 2001, No. 40). A Certificate of Compliance must be 
transmitted to OAL by 2-1-2002 or emergency language will be repealed by 
operation of law on the following day. 

7. Certificate of Compliance as to 10-4-2001 order transmitted to OAL 2-1-2002 
and filed 3-18-2002 (Register 2002, No. 12). 



Page 62 



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Title 2 



Public Employees' Retirement System Board 



§ 599.510 



• 



8. Amendment of subsection (a)(7) and amendment of NoTC filed 4-15-2004 as 
an emergency; operative 4-13-2004 (Register 2004, No. \6). A Certificate of 
Compliance must be transmitted to OAL by 8-13-2004 or emergency language 
will be repealed by operation of law on the following day. 

9. Certificate of Compliance as to 4-15-2004 order transmitted to OAL 
6-25-2004 and filed 8-9-2004 (Register 2004, No. 33). 

10. Change without regulatory effect amending Note filed 10-31-2006 pursuant 
to section 100, title 1 , California Code of Regulations (Register 2006, No. 44). 



§ 599.509. Minimum Standards for Health Benefits Carriers. 

A health benefits plan will not be approved by the Board unless the car- 
rier of the plan meets, in addition to the requirements of the Public Em- 
ployees' Medical and Hospital Care Act, the following additional re- 
quirements: 

(a) It must be lawfully engaged in the business of supplying health 
benefits. 

(b) It must have, in the judgment of the Board, the financial resources, 
organizational facilities and experience in the field of health benefits to 
carry out its obligations under the plan. 

In the case of carriers for service benefit plans and indemnity benefit 
plans, the Board in forming its judgment shall be guided by such factors 
as the length of time the carrier has been in the prepaid health benefits 
field, the capacity of the carrier to effectively service claims of enrolled 
employees and annuitants throughout the State, the general financial sta- 
bility of the carrier as exhibited by examinations of the State Insurance 
Commissioner or other regulatory bodies, and the extent to which the car- 
rier underwrites other prepaid health benefits plans in California. 

In the case of carriers for group practice prepayment plans, the Board 
in forming its judgment shall be guided by such factors as the number of 
physicians practicing in the group, the number of physicians practicing 
in the group as specialists and their qualifications, the proportion of the 
group's income which is derived from prepayment as opposed to fee- 
for-service, the extent to which the group utilizes outside consultants, the 
extent to which ancillary and other related services, both in and out of the 
hospital, are available in the group, the stability of the group's finances 
and organization, and the potential for enrollment of employees and an- 
nuitants under the plan as well as the plan's capacity for servicing such 
potential enroUees including a demonstrated commitment to cost con- 
tainment, innovative services, effectiveness of utilization review, and 
success in achieving market penetration. 

In the case of carriers for individual practice prepayment plans, the 
Board in forming its judgment shall be guided by such factors as the num- 
ber of physicians participating in the plan, the number of physicians prac- 
ticing as specialists and their qualifications, the extent to which ancillary 
and other related services, both in and out of the hospital, are covered, the 
stability of the plan, finances and organization of the plan, the plan's fi- 
nancial responsibility, and the potential for enrollment of employees and 
annuitants under the plan, as well as the plan's capacity for servicing such 
potential enrollees including a demonstrated commitment to cost con- 
tainment, innovative services, effectiveness of utilization review, and 
success in achieving market penetration. 

(c) It must agree to keep such reasonable financial and statistical re- 
cords and furnish such reasonable financial and statistical reports with re- 
spect to the plan as may be requested by the Board, which may include 
but is not limited to: 

(1) Number of persons enrolled under the plan, by employee, annu- 
itant, and family coverage. 

(2) Contributions received from such employees and annuitants, and 
the employer. 

(3) Claims incurred on behalf of such employees and annuitants, in- 
cluding health benefits payments made, or services rendered, by em- 
ployee, annuitant, and family coverage. 

(4) Expense and risk or other retention charges. 

(5) Reserves established under the plan. 

(d) It must agree to permit representatives of the Board to audit and ex- 
amine its records and accounts which pertain, directly or indirectly, to the 
plan at such reasonable times and places as may be designated by the 



Board. However, any privileged medical information relating to any 
claimant's medical history and record need not be released by the carrier 
or revealed to the Board or its representatives, to the extent that any pa- 
tient's identity is revealed. However, such data must be provided in ab- 
stract format upon request by the Board. 

(e) It must agree to comply with requirements of the Board in the solic- 
itation of enrollment of employees and annuitants and in any advertising 
concerning or involving participation in the plan. 

(f) It must agree to accept, subject to adjustment for error or fraud, in 
payment of its prepayment charges for health benefits for all employees 
and annuitants enrolled in its plan, the contribution of each employee and 
annuitant withheld from the salary or retirement allowance payable to 
him or her. 

NOTE: Authority cited: Secfions 22794 and 22796, Government Code. Reference: 
Section 22796, Government Code. 

History 

1. Amendment of subsection (f) filed 1 1-27-68 as an emergency; effective upon 
filing (Register 68, No. 45). For prior history, see Register 68, No. 29. 

2. Certificate of Compliance— Sec. 1 1422.1, Gov. Code, filed 2-20-69 (Register 
69, No. 8). 

3. Amendment filed 6-15-79; designated effecfive 8-1-79 (Register 79, No. 24). 

4. Amendment filed 6-27-80; designated effective 8-1-80 (Register 80, No. 26). 

5. Amendment filed 6-9-86; effective thirtieth day thereafter (Register 86, No. 
24). 

6. Change without regulatory effect amending Note filed 10-31-2006 pursuant 
to section 100, fitle 1 , California Code of Regulations (Register 2006, No. 44). 

§ 599.510. Minimum Scope and Content of Basic Healthi 
Benefits Plans. 

(a) No contract shall be made or approved for a basic health benefits 
plan which does not include in its coverage the following benefits. The 
payment schedule for such benefits must be sufficient in the judgment of 
the Board to meet the major share of usual, customary or reasonable 
charges for such services. 

(1) Hospital benefits. 

(A) In-hospital. 

Coverage must be extended to enrolled employees, annuitants, and 
family members to provide benefits in the event of confinement in a hos- 
pital because of injury or sickness. 

Hospital "room and board benefits" must be provided for at least the 
first 31 days of hospital confinement. "Miscellaneous hospital benefits" 
must be provided for hospital charges incurred over and above those for 
room and board, such as charges for the use of operating and cystoscopic 
rooms, anesthetic supplies, anesthesia when supphed by the hospital as 
a regular service and administered by a salaried employee, ordinary 
splints, plaster casts, and surgical dressings. 

(B) Outpatient — hospital. 

Coverage must be extended to enrolled employees, annuitants, and 
family members to provide benefits because of accidental bodily injury, 
surgery or emergency treatment for sickness when not admitted to a hos- 
pital or confined as a registered bed patient. Such benefits shall include 
but are not hmited to: 1. Charges for use of operating and cystoscopic 
rooms, 2. Charges for anesthetic supplies and anesthesia when supplied 
by the hospital as a regular service and administered by a salaried em- 
ployee, and 3. Charges for ordinary splints, plaster casts and surgical 
dressings. 

(2) Surgical Benefits In and Out of the Hospital. 

Coverage must be extended to enrolled employees, annuitants and 
family members to provide benefits in the event of surgical operations 
performed because of injury or sickness. 

(3) In-hospital medical benefits. 

Coverage must be extended to enrolled employees, annuitants, and 
family members to provide benefits for medical services rendered by at- 
tending physicians or physician anesthetists, other than those of a sur- 
geon as described above, while a registered bed patient in a hospital. 

(4) Outpatient medical benefits. 

Coverage must be extended to enrolled employees, annuitants and 
family members to provide benefits for medical services rendered on an 



Page 63 



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§ 599.511 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



outpatient basis. Such services siiall include those of a physician and sur- 
geon for usual medical services and a physician anesthetist. 

(5) Diagnostic. X-ray. and laboratory examinations benefits in and out 
of the hospital. Coverage must be extended lo enrolled employees, annu- 
itants, and family members and shall include those services of medical 
and paramedical personnel such as, but not restricted to, a pathologist, or 
a roentgenologist to provide for all ordinary clinical and pathological lab- 
oratory services and X-ray examinations. Such services may be rendered 
either by physicians or by salaried hospital or clinical personnel as appro- 
priate. 

(6) Maternity benefits. Coverage must be extended to each enrolled 
employee, annuitant, and covered family member to provide medical and 
hospital benefits for maternity care. 

(7) Ambulance service benefits. Coverage must be extended to en- 
rolled employees, annuitants, and family members to provide benefits for 
necessary local professional ambulance service to a hospital. 

Determination of usual, customary, and reasonable charges for pur- 
poses of this subsection 599.510(a) shall take into account the Relative 
Value Studies of the California Medical Association with respect to any 
service included in such Studies. 

(b) There shall be excluded from coverage set forth above: 

(1) charges incurred in connection with bodily injury or disease cov- 
ered by worker's compensation statutes or similar legislation. 

(2) charges for which the claimant has been or is entitled to be reim- 
bursed under any other basic hospital, surgical or medical plan not sub- 
ject to these rules for which the employer shall have paid any part of the 
costs. Premiums or other consideration paid for the coverage not pro- 
vided shall be returned to the person, state agency or contracting agency 
equitably entitled thereto. 

(3) charges incurred during confinement in a hospital owned or oper- 
ated by the United States Government, charges for services, treatments 
or supplies furnished by or for the United States Government or paid for 
by said United States Government, or charges incurred during confine- 
ment in a hospital owned or operated by a state, province, or political sub- 
division, unless there is an unconditional requirement to pay these 
charges without regard to any rights against others, contractual or other- 
wise. 

(4) services and charges for services for which the claimant is entitled 
to have payment made on his or her behalf under Part A or Part B, Title 
XVIII of the Social Security Act. 

(5) charges in accordance with such other exclusions as may be agreed 
to by the Board. 

(c) There may be excluded from coverage set forth above: 

(1) charges incurred by or on behalf of a family member or services 
received by a family member during a continuous period of hospitaliza- 
tion which commenced before the effective date of the enrollment if eli- 
gibility to enroll including him or her in coverage of a plan derives from 
other than an open enrollment period; and 

(2) charges incurred or services received by an employee, annuitant, 
or family member during a continuous period of hospitalization which 
commenced before the effective date of his or her enrollment if eligibility 
to enroll derives from an open enrollment period. Such exclusion shall 
no longer apply upon the 91st day of enrollment in the plan. 

NOTE; Authority cited: Sections 22794 and 22796, Government Code. Reference: 
Sections 22796, 22850, 22853 and 22860, Government Code. 

History 

1 . Amendment of subsection (b)(2) filed 7-3 1-68 as an emergency; effective upon 
filing (Register 68, No. 29). For prior history, see Register 66, No. 10. 

2. Certificate of Compliance— Section 11 422. 1, Gov. Code, filed 1 1-27-68 (Reg- 
ister 68, No. 45). 

3. Amendment of subsection (b)(2) filed 8-5-76; effective thirtieth day thereafter 
(Register 76, No. 32). 

4. Amendment of subsections (a)(6) and (b)(1) filed 6-15-79; designated effective 
8-1-79 (Register 79, No. 24). 

5. Amendment filed 6-27-80; designated effective 8-1-80 (Register 80, No. 26). 

6. Amendment filed 6-9-86; effective thirtieth day thereafter (Register 86, No. 
24). 

7. Editorial correcfion of Authority cite (Register 95, No. 5). 



8. Change without regulatoiy effect amending Note filed 10-31-2006 pursuant 
to section 100, title 1 , California Code of Regulations (Register 2006, No. 44). 

§ 599.51 1 . Alternative Benefit Plans. 

(a) To be qualified to be approved, or contracted for, by the Board, an 
alternative benefit plan must comply with the Public Employees' Medi- 
cal and Hospital Care Act and this subchapter. 

(b) Notwithstanding any other provision of this subchapter, only em- 
ployees and annuitants of contracting agencies and their family members 
shall be eligible to enroll in an alternative benefit plan. 

(c) Notwithstanding any other provision of this subchapter, the Board 
may elect to offer one or more alternative benefit plans to contracting 
agency employers either in lieu of, or in addition to, any other health 
benefits plans approved or contracted for by the Board. 

(d) In the event that the governing board of a contracting agency that 
is subject to the Public Employees' Medical and Hospital Care Act elects 
to provide an alternative benefit plan(s) to its employees or annuitants, 
it must file a resolution with the Office of Employer and Member Health 
Services of the Board. The resolution shall be effective on the first day 
of the second month following the month in which the resolution is re- 
ceived in the office of the Board. 

NOTE: Authority cited: Secfions 22794 and 22796. Government Code. Reference: 
Sections 22850(f)(2) and 22864(b)(3), Government Code. 

History 

1 . New secnon filed 4-13-2004 as an emergency; operative 4-13-2004 (Register 
2004, No. 16). A Certificate of Compliance must be transmitted to OAL by 
8-1 1-2004 or emergency language will be repealed by operation of law on the 
following day. For prior history, see Register 86, No. 24. 

2. Certificate of Compliance as to 4-13-2004 order transmitted to OAL 8-3-2004 
and filed 9-15-2004 (Register 2004, No. 38). 

3. Change without regulatory effect amending Note filed 10-31-2006 pursuant 
to section 100, title 1, California Code of Regulations (Register 2006, No. 44). 

§599.512. Contributions. 

(a) Except as otherwise provided in Section 599.513 and subsection 
599.512(e), the employer shall contribute toward the cost of coverage for 
each enrolled employee, annuitant, and family member, other than for 
periods during which the enrollment of an employee is continued under 
the provisions of subsections 599.504(b), (c), (d), (e), (f), or (g), or for 
a person who is eligible to enroll only on the condition that he or she pay 
the total cost of his or her coverage, exclusive of contribution made by 
the employer to the Public Employees' Contingency Reserve Fund in the 
amount provided by law. 

(b) The contribution of each enrolled employee and annuitant toward 
the cost of coverage under the plan in which he or she is enrolled shall 
be an amount equal to the gross contribution rate established for the plan 
by contract, less the contribution to be made by the employer under sub- 
section 599.512(a). The gross contribution rate shall consist of the basic 
contribution rate set forth in the contract. 

Where enrollment is continued under Section 599.504 and the em- 
ployer does not contribute under subsection 599.512 (a), the employee 
shall remit monthly during such continuation the gross contribution rate 
for his or her coverage under the plan to the carrier on or before the tenth 
day of the month preceding the month for which the contribution was 
due, or pursuant to any other arrangement agreed to by the Board. For all 
other enrollments the gross contribution rate required less the contribu- 
tion made by the employer under subsection 599.512 (a) shall be with- 
held from salary or retirement allowance warrants. 

For the purposes of application of this subsection to contributions due 
for enrollment in a prior year, the gross contribution rate and the employ- 
er's contribution under subsection 599.512 (a) shall be such a contribu- 
tion rate for the year for which contribution is due. 

(c) Contributions shall commence with the first salary or retirement al- 
lowance warrant payable to the employee or annuitant preceding the ef- 
fective date of enrollment, and shall be made for coverage for a full peri- 
od of one month. Contributions of the employer shall commence on the 
effective date of enrollment. 

(d) Contributions shall terminate with the last contribution made im- 
mediately prior to the termination of enrollment. 



• 



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Title 2 



Public Employees' Retirement System Board 



§ 599.515 



(e) Contributions for an enrolled employee absent because of workers' 
compensation disability for which he or she has applied for temporary 
disability compensation, who continues enrollment under Section 
599.504, shall be paid as follows: 

(1) During the period of adjudication of his or her application for com- 
pensation and thereafter during such time as he or she receives temporary 
disability compensation which is not supplemented by sick leave or vaca- 
tion, or if such supplemental payments are not sufficient to permit the de- 
duction of his or her contribution, the employee shall pay the total cost 
of coverage as provided under subsection 599.512 (b). 

(2) Upon establishment of entitlement to temporary disability com- 
pensation and his or her election to supplement such compensation with 
sick leave or vacation, the employee shall be entitled to receive payment 
of the employer's contribution for the period of adjudication, and deduc- 
tion of the employee's contributions from payroll and payment of the em- 
ployer's contributions shall continue thereafter so long as supplemental 
payments permit deduction of the full contribution of the employee. 
NOTE; Authority cited: Sections 22794 and 22796, Government Code. Reference: 
Sections 22870-22899, Government Code. 

History 

1 . Amendment of subsection (c) filed 7-5-74 as an emergency; effective upon fil- 
ing (Register 74, No. 27) For prior history, see Register 72, No. 24. 

2. Certificate of Compliance filed 9-6-74 (Register 74, No. 36). 

3. Amendment filed 6-27-80; designated effective 8-1-80 (Register 80, No. 26). 

4. Amendment of subsections (b) and (c) filed 6-9-86; effective thirtieth day 
thereafter (Register 86, No. 24). 

5. Change without regulatory effect amending Note filed 10-31-2006 pursuant 
to section 100, title 1, California Code of Regulations (Register 2006, No. 44). 

§ 599.513. Public Employees' Contingency Reserve Fund. 

(a) For all plans approved or contracted for under this part, there shall 
be established a Public Employees' Contingency Reserve Fund in accor- 
dance with Section 22910 of the Public Employees' Medical and Hospi- 
tal Care Act. 

(b) Contribution shall be made by the employers during each calendar 
year to the Public Employees' Contingency Reserve Fund on account of 
each approved or contracted plan, in the amount authorized by law. 

(c) The contributions made to the Contingency Reserve Fund in (b), 
above, shall not be used for administrative expense purposes. They may 
be utilized to defray increases in future rates, to reduce the contributions 
of employees and annuitants and the employers, or to increase the bene- 
fits provided by any plan to the extent that amounts in the Fund are 
derived from that plan, upon determination by the Board. 

NOTE: Authority cited: Sections 22796, 22800 and 22831, Government Code. 
Reference: Sections 22870, 22885, 22890, 22901, 22910 and 22913, Government 
Code. 

History 

1 . Amendment filed 7-31-68 as an emergency; effective upon filing (Register 68, 
No. 29). For prior history, see Register 65, No. 20. 

2. Certificate of Compliance— Section 1 1422.1, Gov. Code, filed 1 1-27-68 (Reg- 
ister 68, No. 45). 

3. Amendment of subsection (a), (b), (d)(1) and (d)(3) filed 6-15-79; designated 
effective 8-1-79 (Register 79, No. 24). 

4. Amendment filed 6-27-80; designated effective 8-1-80 (Register 80, No. 26). 

5. Amendment filed 6-9-86; effective thirtieth day thereafter (Register 86, No. 
24). 

6. Change without regulatory effect amending subsection (a) and Note filed 
10-31-2006 pursuant to section 100, title 1, California Code of Regulations 
(Register 2006, No. 44). 

§ 599.514. Application for Approval of Major Medical Plans 
Offered by Employee Organizations. 

NOTE: Authority cited: Sections 20120 and 22775, Government Code. Reference: 
Secfions 22775 and 22776, Government Code. 

History 

1 . Amendment filed 7-5-74 as an emergency; effective upon filing (Register 74, 
No. 27). 

2. Certificate of Comphance filed 9-6-74 (Register 74, No. 36). 

3. Repealer of subsection (c) and renumbering of subsecdon (d) filed 6-15-79; 
designated effective 8-1-79 (Register 79, No. 24). 

4. Repealer filed 6-9-86; effective thirtieth day thereafter (Register 86, No. 24). 



§ 599.515. Contracting Agency Participation. 

(a) Resolution. The resolution of the governing board of a contracting 
agency electing to be subject to the Public Employees' Medical and Hos- 
pital Care Act shall be filed with the Health Benefits Division of the Pub- 
he Employees' Retirement System. If such resolution is filed with the 
Health Benefits Division on or before the tenth day of any month, the 
contracting agency and its employees and annuitants will become subject 
to the Act on the first day of the following month. The effective date of 
participation where the resolution is received in the Health Benefits Divi- 
sion after the tenth day of any month shall be at midnight of the last day 
of the following month. The resolution shall designate an officer or em- 
ployee of the agency who shall be responsible for distribution, receipt 
and forwarding to the Health Benefits Division enrollment forms for its 
employees and annuitants, the filing of reports and the transmission of 
contributions. 

A resolution filed with the Health Benefits Division may be revoked 
by the filing of a resolution of the governing board in the Health Benefits 
Division no less than ninety days prior to the effective date specified in 
the resolution electing to be subject to the Public Employees' Medical 
and Hospital Care Act. 

(b) Reports. The agency shall file in the Health Benefits Division on 
or before the tenth day of each month such reports covering the em- 
ployees and annuitants enrolled as of the first day of the month as the 
Board may require, and the total contributions due for each. The report 
shall be accompanied by payment of the total of such contributions for 
employees and the employer contributions due for annuitants of the 
agency enrolled under the program and the employer contribution for ad- 
ministrative costs and the Public Employees' Contingency Reserve 
Fund. 

(c) Enrollment. The contracting agency shall make available to its em- 
ployees and annuitants information concerning health benefit plans and 
procedures for enrollment and the enrollment forms prescribed by the 
Board. It shall cause all properly executed enrollment forms to be trans- 
mitted promptly to the Health Benefits Division. 

(d) Delinquency. The Executive Officer of the Board, upon failure of 
a contracting agency to perform any act required by the Meyers-Geddes 
State Employees' Medical and Hospital Care Act or these rules, shall on 
behalf of the Board, make demand for performance of such act on the 
agency pursuant to Section 22939 of the Meyers-Geddes State Em- 
ployees' Medical and Hospital Care Act. If such demand is not satisfied, 
the Executive Officer shall refer the matter to the Board at its next meet- 
ing. 

(1) The contributions required of a contracting agency, along with 
contributions withheld from salaries of its employees, shall be forwarded 
monthly, no later than the 10th day of the month for which the contribu- 
tion is due. 

(2) Interest on late payments: 

(A) If a public agency fails to pay contributions due within the pre- 
scribed time, interest shall be charged upon the amount due from the due 
date until received by the System in Sacramento. 

(B) The rate of interest to be charged shall be equal to the short-term 
interest rate for the coverage month due. 

(3) Cost assessment for late reporting: 

(A) If a public agency fails to file a remittance report as required by 
these regulations within the time period set forth, an assessment to recov- 
er the cost of follow-up and special accounting of $25.00 for each report 
shall be made. 

(B) If, in the opinion of the Executive Officer, such assessment is in- 
sufficient to meet the added costs because of special circumstances, he/ 
she shall determine such costs and make an appropriate supplemental 
assessment. 

(4) Time extension: 

(A) A reasonable extension of time for fiUng remittance reports may 
be granted by the Executive Officer or designee whenever good cause ex- 
ists. 



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§ 599.516 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



(e) Termination. A contracting agency may terminate its participation 
under the Public Employees' Medical and Hospital Care Act by filing 
with the Board a resolution passed by a majority vote of its governing 
body. The resolution electing to terminate must be filed with the Health 
BenefitsT)ivision of the Public Employees' Retirement System no later 
than 60 days after the Board of Administration approves and announces 
the health plan premium rates for the following year. The termination be- 
comes effective at the end of the current contract year. The election to ter- 
minate is irrevocable after the filing of the resolution, and a resolution 
electing to be subject to the Public Employees' Medical and Hospital 
Care Act may not be filed thereafter within five years of the termination 
date. 

Note; Authority cited: Sections 20121, 22794, 22796, 22800, 22830, 22831 and 
22846(a), Government Code. Reference: Sections 22901 and 22922-22939, Gov- 
ernment Code. 

History 

1. Amendment of subsection (e) filed 8-5-76; effective thirtieth day thereafter 
(Register 76, No. 32). For prior history, see Register 75. No 12. 

2. Amendment of subsections (a), (b) and (c) Filed 6-27-80; desisnated effective 
8-1-80 (Register 80. No. 26). 

3. Amendment filed 6-9-86; effective thirtieth day thereafter (Register 86, No. 
24). 

4. Amendment of subsection (e) filed 4-3-2003 as an emergency; operative 
4-3-2003 (Register 2003, No. 14). A Certificate of Compliance must be trans- 
mitted to OAL by 8-1-2003 or emergency language will be repealed by opera- 
tion of law on the following day. 

5. Certificate of Compliance as to 4-3-2003 order transmitted to OAL 7-9-2003 
and filed 8-18-2003 (Register 2003, No. 34). 

6. Amendment of subsecfion (e) filed 8-4-2004; operative 8-4-2004 pursuant to 
Government Code section 11343.4 (Register 2004, No. 32). 

7. Change without regulatory effect amending subsection (d) and Note filed 
10-31-2006 pursuant to section 100, title 1, California Code of Regulations 
(Register 2006, No. 44). 

§ 599.516. Payment of Surcharges for Late Enrollment in 
Medicare Part B. 

(a) As used in this section and Government Code section 22831(b): 

(1) "Surcharge for late enrollment in Part B of Medicare" means the 
Part B penalties for late enrollment, exclusive of the Part B premium and 
interest or penalties for the late payment of premiums. At the discretion 
of the Board, Part B penalties may be paid directly to the Medicare pro- 
gram or annuitants may be reimbursed for the costs of their Part B penal- 
ties. 

(2) "Annuitants" means annuitants and their family members. 

(3) "Medicare eligible annuitants" means those annuitants and their 
family members who (a) are enrolled in a basic health benefits plan, (b) 
are eligible for Part A of Medicare without cost, (c) turned 65 between 
January 1, 1985 and June 30, 2005, and (d) have not previously enrolled 
in Part B of Medicare. 

(4) "Adverse selection" means that the costs of covering Medicare eU- 
gible annuitants in a particular basic plan results in higher premiums for 
all members of that plan. 

(5) "Less costly" means one of the following: 

(A) The reduction in a carrier's basic plan premium and resulting sav- 
ings from moving a Medicare eligible annuitant into the carrier's Medi- 
care plan are greater than an amount equal to the costs of that annuitant's 
Part B penalties and the employer's mandatory contribution for enroll- 
ment in the carrier's Medicare plan. For purposes of this section, the em- 
ployer's mandatory contribution shall include all amounts that the em- 
ployer would be required to pay pursuant to Government Code section 
22879. 

(B) In the case of a self-funded plan administered by the Board, the 
costs of medical and pharmaceutical claims paid from the Health Care 
Fund on behalf of a Medicare-eligible annuitant have been, and are proj- 
ected to be, an amount greater than the Part B penalties for that annuitant 
and the claim costs that would be paid by the Health Care Fund if the an- 
nuitant were enrolled in the plan's Medicare supplement. 

(6) "Defined class of Medicare eligible annuitants" means a specific 
category or group of Medicare eligible annuitants identified or estab- 
lished at the discretion of the Board. 



(7) "Determination" means an evaluation and decision made by the 
Board pursuant to these regulations and Section 22831(b) as to whether 
(a) adverse selection due to the enrollment of Medicare eligible annu- 
itants has impacted a basic health benefits plan contracted for or ap- 
proved by the Board and (b) the payment of the Part B penalties for the 
Medicare eligible annuitant(s) enrolled in that basic plan and their enroll- 
ment in a Medicare health benefits plan would be less costly than contin- 
ued enrollment in the basic plan. An affirmative determination shall be 
referred to as a determination of cost savings. 

(8) "CMS" means the Centers for Medicare and Medicaid Services, 
the federal agency which administers the Medicare program. 

(b) If the Board makes a determination of cost savings with respect to 
a Medicare eligible annuitant or defined class of Medicare eligible annu- 
itants enrolled in a basic health benefits plan, the Board may seek funding 
for, or otherwise arrange for, payment of the Part B penalties on behalf 
of those annuitants. 

(c) Determinations will be specific to a designated basic health bene- 
fits plan and the costs of the Part B penalties will be based on CMS Medi- 
care eligibility data. At its discretion, the Board may make determina- 
tions hereunder on an individual basis or for a defined class of Medicare 
eligible annuitants. Nothing in this section shall be construed as requiring 
the Board to undertake or make a determination with respect to a particu- 
lar basic health benefit plan, individual annuitant, or group of annuitants. 

(d) Except as specifically provided herein and approved by the Board, 
neither the California Public Employees' Retirement System nor any em- 
ployer or other entity shall have any obligation to pay Part B penalties or 
reimburse individual annuitants for the costs of such penalties. 

(e) Unless otherwise provided by law, the California Public Em- 
ployees' Retirement System shall not be financially liable for the pay- 
ment of Part B penalties. 

(f) Neither the employer nor any other entity which funds the payment 
of Part B penalties pursuant to this section shall have any obligation to 
continue to pay, or fund the payment of. Part B penalties on behalf of any 
annuitant or family member in the event that: 

(1) Funding is not available for payment of Part B penalties; or 

(2) The Board determines that payment of the Part B penalties and the 
employer's mandated contribution is no longer less costly than enroll- 
ment in a basic health benefits plan; or 

(3) The annuitant or family member, once enrolled in Medicare Part 
B, fails to pay the Part B premiums or otherwise fails to maintain continu- 
ous coverage under Part B. 

(g) A Medicare Part B Penalty Reimbursement Program is hereby es- 
tablished for the payment or reimbursement of the penalties for late en- 
rollment in Medicare Part B. If the Board makes a determination of cost- 
savings with respect to a Medicare eligible annuitant or defined class of 
Medicare eligible annuitants, each annuitant shall: 

(1) Enroll in the Part B Penalty Reimbursement Program. 

(2) Enroll in Medicare Part B at the earliest possible date, but no later 
than the end of the current Part B open enrollment period or, if the open 
enrollment period has closed, the next Part B open enrollment. 

(3) Maintain continuous enrollment in Part B of Medicare and pay all 
Part B premiums when due. In the event that the program elects to reim- 
burse the program participants for the costs of the Part B penalties rather 
than paying those penalties directly to Medicare, the annuitant must also 
timely pay all Part B penalties. 

(4) Enroll in a Medicare health benefits plan approved or contracted 
for by the Board effective as of the date that Part B coverage commences. 

(h) A Medicare Part B Penalty Reimbursement Program participant 
who fails to maintain Medicare Part B coverage, including due to a failure 
to timely pay the Part B premium and all penalties that are the responsibil- 
ity of the participant, will not be eligible to re-enroll in a basic plan and 
may be required to reimburse the Part B penalties previously paid on his 
or her behalf. Termination of Medicare coverage for failure to pay the 
Part B premiums shall not constitute an involuntary termination of Medi- 
care benefits under section 599.502(f)(12). In the event that the annuitant 
later re-enrolls in Part B, he or she will not be eligible to re-enroll in the 



Page 66 



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Title 2 



Public Employees' Retirement System Board 



§ 599.517 



program unless it is determined that there would be cost savings. Penal- 
ties and costs associated with lapse or cancellation of, and subsequent re- 
enroUment in, Part B of Medicare will not be reimbursed. 

(i) Any Medicare eligible annuitant who is included in a cost savings 
determination made by the Board and who, after adequate notice from the 
Board of his or her right to enroll in the Part B Penalty Program, refuses 
to enroll in Medicare Part B and a Medicare health benefits plan approved 
or contracted for by the Board, shall no longer be eligible for continued 
enrollment in a basic health benefits plan. 

NOTE: Authority cited: Sections 22794, 22796 and 2283 1 (b), Government Code. 
Reference: Section 22831(b), Government Code. 

History 

1. New section filed 1-1 5-2004 as an emergency; operative 1-1 5-2004 (Register 
2004, No. 3). A Certificate of Compliance must be transmitted to OAL by 
5-14-2004 or emergency language will be repealed by operation of law on the 
following day. 

2. Certificate ofCompliance as to 1-1 5-2004 order, including amendment of sub- 
sections (a)(5)(A) and (h), transmitted to OAL 5-1 3-2004 and filed 6-28-2004 
(Register 2004, No. 27). 

3. Change without regulatory effect amending subsections (a), (a)(5)(A) and (a)(7) 
and amending NOTE filed 1 0-3 1 -2006 pursuant to section 1 00, title 1 , Califor- 
nia Code of Regulations (Register 2006, No. 44). 

§ 599.517. Termination of Enrollment in Basic Health 

Benefits Plan for Failure to Enroll In Part A and 
Part B of Medicare. 

Except as otherwise provided under federal law or regulation, speci- 
fied employees, annuitants and their family members who become Medi- 
care-eligible, as defined below, may not be enrolled in a basic health 
benefits plan. Failure of a Medicare-eligible basic plan member to enroll 
in Part B of Medicare and in a Medicare Plan will result in termination 
of basic plan coverage. 

(a) As used in this section and in Government Code section 22844: 

(1) "Post- 1997 Basic Health Plan EnroUees" means those annuitants 
and their family members who (a) have been continuously enrolled in a 
basic health benefits plan on or after January 1, 1998, and (b) turned 65 
on or after January 1, 1998 and before January 1, 2005. 

(2) "Post-2000 CSU Basic Health Plan EnroUees" means those annu- 
itants of the California State University and their family members who 
(a) have been continuously enrolled in a basic health benefits plan on or 
after January 1, 2001, and (b) turned 65 on or after January 1, 2001 and 
before January 1, 2005. 

(3) "Prospective Medicare Beneficiary" means an annuitant, em- 
ployee or family member who is enrolled in a basic health benefits plan 
and, at the time of notification hereunder, is within the Medicare Initial 
Enrollment Period. 

(4) "Medicare-Eligible" means eligible for Medicare Part A without 
cost and Part B. 

(5) "Medicare Plan" means a Medicare supplement or Medicare-risk 
health benefits plan approved or contracted for by the board. 

(6) "Deferral of Part B Enrollment" means deferral of Part B enroll- 
ment by a Medicare-eligible state or a contracting agency employee 
who, pursuant to federal law and regulations, has deferred enrollment in 
Part B of Medicare because he or she is actively employed and covered 
by a basic health benefits plan by virtue of that employment. 

(b) Enrollment and continuation in a basic health benefits plan. 

(1) Except as set forth below, Post-1997 Basic Health Plan EnroUees, 
Post-2000 CSU Basic Health Plan EnroUees, and Prospective Medicare 
Beneficiaries who are Medicare-eligible may not continue to be enrolled 
in a basic health benefits plan. 

(2) A Medicare-eligible individual who applies for initial enroUment 
in a basic health benefits plan, or re-enrollment after a break in coverage, 
shall not be permitted to enroll in a basic plan notwithstanding the fact 
that he or she was enrolled in an employer-sponsored basic health plan 
prior to, or on the date of, the application for enrollment. 

(3) A Medicare-eligible state or contracting agency employee who 
has deferred his or her enrollment in Part B, may continue to be enrolled 
in a basic health benefits plan until the earlier of retirement or termination 
of employment. Such employee must notify the Board immediately upon 



termination of his or her deferred status and must enroll in Part B of Medi- 
care during his or her special enrollment period. 

(c) Notice of Requirement to Enroll in Medicare. 

(1 ) Post-1 997 Basic Health Plan EnroUees and Post-2000 CSU Basic 
Health Plan EnroUees. No later than December 1 , 2004, the Board shall 
provide notice to Post-1997 Basic Health Plan EnroUees and Post-2000 
CSU Basic Health Plan EnroUees of their requirement to enroll in Part B 
of Medicare. This notice shall provide that (a) if they are Medicare-eligi- 
ble they may not remain in a basic plan, (b) if they are eligible for Part 
A of Medicare without cost, they must enroll in Part B of Medicare and 
in a Medicare Plan in order to retain health plan coverage; and (c) the fail- 
ure to provide the board with satisfactory evidence of enrollment in Part 
B, ineligibility for Part A without cost, or deferral of Part B enrollment 
will result in the termination of their basic plan enrollment. 

(2) Prospective Medicare Beneficiaries. Commencing four (4) months 
prior to a Prospective Medicare Beneficiary's 65th birth month, the 
Board shall provide notice of the requirement to enroll in Medicare. This 
notice shall inform the Prospective Medicare Beneficiary that if he or she 
is Medicare-eligible, he or she may not remain in a basic health benefits 
plan and must timely enroll in Part B of Medicare and a Medicare Plan 
in order to retain health plan coverage. The notice shall also inform the 
Prospective Medicare Beneficiary that failure to provide the board with 
satisfactory evidence of enrollment in Part B, ineligibility for Part A of 
Medicare without cost, or deferral of Part B enrollment will result in the 
termination of his or her basic plan enroUment. 

(d) Termination of enrollment in a basic health benefits plan. 

(1 ) On or before March 31, 2005, Post-1997 Basic Health Plan EnroU- 
ees and Post-2000 CSU Basic Health Plan EnroUees shall provide the 
Board with satisfactory evidence of application for enrollment in Part B 
of Medicare during the 2005 Medicare open enroUment period, ineligi- 
bility for enrollment in Part A of Medicare without cost, or deferral of 
Part B enrollment. Failure to do so will result in termination of basic plan 
enrollment effective April 1, 2005. 

(2) On or before June 1, 2005, a Post-1997 Basic Health Plan EnroUee 
or a Post-2000 CSU Basic Health Plan EnroUee who applied to enroU in 
Part B of Medicare during the 2005 open enroUment period shall provide 
the.Board with satisfactory evidence of enroUment in Part B of Medicare 
and an application for enrollment in a Medicare plan. Failure to do so will 
result in termination of basic plan enrollment effective July 1, 2005. 

(3) The basic plan enrollment of a Prospective Medicare Beneficiary 
who fails to provide to the Board satisfactory evidence of enrollment in 
Part B of Medicare, ineligibility for Part A of Medicare without cost, or 
deferral of Part B enrollment by the last day of his or her birth month, will 
be terminated effective the first of the subsequent month. 

(4) To the full extent permitted by law, the Board shaU have no liability 
for any costs, losses or damages incurred by any person as a result of, or 
arising from or related to, the termination of basic health benefits plan 
coverage in accordance with this section. 

(e) Enrollment in a Supplemental Plan. 

(1) Post-1997 Basic Health Plan EnroUees, Post-2000 CSU Basic 
Health Plan EnroUees, and Prospective Medicare Beneficiaries who are 
Medicare-eligible may enroll in a Medicare Plan by submitting an ap- 
plication to the Board and proof of enrollment in Parts A and B of Medi- 
care. Enrollment in the Medicare Plan shall be effective on the date Medi- 
care coverage became effective or the first of the month following receipt 
of the application, whichever is later. 

(2) Notwithstanding (1) above, a person whose coverage has been ter- 
minated pursuant to subsection (d) and who subsequently submits evi- 
dence of enrollment in Parts A and B of Medicare may only enroll in a 
Medicare Plan under the foUowing conditions: 

(A) If the application and proof of enrollment in Parts A and B of Medi- 
care are submitted within 90 days of the date that basic plan coverage ter- 
minated, enrollment in the Medicare Plan shall be retroactive to the effec- 
tive date of Medicare coverage or a date 90 days prior to the submission 
of evidence of Medicare enrollment, whichever is later. 



Page 66.1 



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§ 599.550 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



(B) If the application and proof of enrollment in Parts A and B of Medi- 
care are submitted more than 90 days after the date that basic plan cover- 
age terminated, the effective date of enrollment shall be the first of the 
month following receipt of the application or, if applicable, the effective 
date of coverage under open enrollment. 

(f) Enrollment in a basic health benefits plan after termination. 

If a person whose basic plan coverage has been terminated pursuant 
to subsection (d) subsequently submits satisfactory written confirmation 
that he or she is either not eligible for Part A of Medicare without cost or 
has deferred enrollment in Part B of Medicare, he or she may enroll in a 
basic health benefits plan under the following conditions: 

(1) If the documentation is received by the Board within 90 days of the 
date that coverage terminated, re-enrollment in a basic plan shall be ret- 
roactive to the date coverage terminated. 

(2) An application for enrollment received more than 90 days after ba- 
sic plan coverage has terminated may be submitted only during a Cal- 
PERS Health Benefits Open Enrollment period. 

(g) Request for administrative review — termination of enrollment in 
basic health benefits plan. 

( 1 ) A person who has been notified that his or her enrollment in a basic 
plan has, or will be, terminated pursuant to subsection (d), may request 
an administrative review of the termination. The filing of a request for 
administrative review shall not delay the termination of basic plan enroll- 
ment. 

(2) A request for administrative review must be filed with the Health 
Branch Assistant Executive Officer within 90 days of the termination 
date or the date of the notice of termination, whichever is later. The re- 
quest for administrative review shall be in writing, state the grounds on 
which it is requested, the relief that is sought, and include all supporting 
evidence. 

(3) The Health Branch Assistant Executive Officer or his or her desig- 
nee shall acknowledge the request within 1 5 days of receipt. The Health 
Branch Assistant Executive Officer or his or her designee shall review 
the request and may request additional documentation. Written notifica- 
tion of the decision shall be mailed within 60 days of receipt of all perti- 
nent information. 

(h) Request for administrative review — effective date of Medicare 
Plan enrollment. 

(1) A person whose enrollment in a Medicare Plan is delayed pursuant 
to subsection (e)(2)(B) due to failure to timely submit evidence of enroll- 
ment in Part B of Medicare, may seek administrative review of the basis 
for the delayed effective date. The filing of a request for administrative 
review shall not delay the termination of basic plan enrollment. 

(2) A request for administrative review must be filed with the Health 
Branch Assistant Executive Officer within 90 days of the notice of the 
effective date of enrollment in the Medicare Plan. The request for admin- 
istrative review shall be in writing, state the grounds on which it is re- 
quested, the relief that is sought, and include all supporting evidence. 

(3) The Health Branch Assistant Executive Officer or his or her desig- 
nee shall acknowledge the request within 15 days of receipt. The Health 
Branch Assistant Executive Officer or his or her designee shall review 
the request and may request additional information. Written notification 
of the decision shall be mailed within 60 days of receipt of all pertinent 
information. 

NOTE: Authority cited: Sections 22794 and 22796, Government Code. Reference: 
Section 22844, Government Code. 

History 

1. New section filed 3-22-2004 as an emergency; operative 3-22-2004 (Register 
2004, No. 13). A Certificate of Compliance must be transmitted to OAL by 
7-20-2004 or emergency language will be repealed by operation of law on the 
following day. 

2. Certificate of Compliance as to 3-22-2004 order, including amendment of sec- 
tion, transmitted to OAL 7-20-2004 and filed 8-31-2004 (Register 2004, No. 
36). 

3. Change without regulatory effect amending subsection (a) and Note filed 
10-31-2006 pursuant to section 100, title 1, California Code of Regulations 
(Register 2006, No. 44). 



Article 2. Prefunding Plan for Health Care 
Coverage for Annuitants 

§ 599.550. 

For purposes of this article: 

(a) "Health care coverage for annuitants" means postemployment 
healthcare benefits and other postemployment benefits provided to ter- 
minated or retired employees and their dependents and beneficiaries. For 
purposes of this definition, "postemployment healthcare benefits" means 
medical, dental, vision, and other health-related benefits, and "other 
postemployment benefits" means postemployment benefits other than 
pension benefits, including life insurance, disability, and long-term care 
benefits." 

(b) "ParficipaUng employer" means an employer that has elected to 
participate in the prefunding plan and that files a resolution with Cal- 
PERS as provided in §22922, which resolution sets forth the terins and 
conditions of the participafing employer's participation in the prefunding 
plan. 

(c) "Prefunding plan" means the Annuitants' Health Care Coverage 
Fund that is a trust fund intended to meet the requirements of Section 1 1 5 
of the Internal Revenue Code and that is established pursuant to Govern- 
ment Code secfion 22940 to provide healthcare coverage for annuitants. 
NOTE: Authority cited: Sections 22796 and 22922, Government Code. Reference: 
Section 22940, Government Code. 

History 
1 . New article 2 (sections 599.550-599.554) and new section filed 1-26-2007; op- 
erative 1-26-2007 pursuant to Government Code section 11343.4 (Register 
2007, No. 4). 

§ 599.552. 

(a) The board may, in its discretion and upon terms and conditions set 
by the board, authorize an employer to parficipate in the prefunding plan. 

(b) The governing body of a participating employer shall enter into a 
contract with the board, setting forth the terms and conditions of the em- 
ployer's participation in the prefunding plan. The contract may be in the 
form of a resolution adopted pursuant to Section 22922. 

(c) Upon approval by the board, an employer subject to the Public Em- 
ployees' Medical and Hospital Care Act may file a new resolution with 
the board or amend an exisfing resolution on file with the board, to allow 
the employer to become a participating employer. 

Note: Authority cited: Sections 22796 and 22922, Government Code. Reference: 
Sections 22922, 22940 and 22942, Government Code. 

History 
1. New section filed 1-26-2007; operafive 1-26-2007 pursuant to Government 
Code section 11343.4 (Register 2007, No. 4). 

§ 599.553. 

(a) The terms and conditions of the contract or resolution for participa- 
tion in the prefunding plan shall include, but not be limited to, the follow- 
ing: 

(1) Disbursements from the prefunding plan; 

(2) The methodology and assumptions used to calculate the actuarial 
accrued liability for health care coverage for annuitants; 

(3) The method of payments to and disbursements from the prefunding 
plan; 

(4) The frequency and content of reports from the participating em- 
ployer to the prefunding plan; 

(5) The frequency and content of reports from the prefunding plan to 
the participating employer; 

(6) The allocation of prefunding plan investment income to the partici- 
pafing employer; 

(7) The allocation of administrative costs and expenses of the prefund- 
ing plan to the participating employer; 

(8) The circumstances and requirements for transfer of assets into or 
out of the prefunding plan, provided that any such transfers: 

(A) must be in accordance with the terms of the contract or resolution, 
and 



Page 66.2 



Register 2007, No. 4; 1-26-2007 



Title 2 



Public Employees' Retirement System Board 



§ 599.554 



(B) must satisfy the requirements of Section 1 15 of the Internal Reve- 
nue Code. 

(9) The board may terminate the participation of a participating em- 
ployer in the prefunding plan if: 

(A) a participating employer elects to terminate participation in the 
prefunding plan; 

(B) the board finds that the participating employer has failed to satisfy 
the terms and conditions required by this article, by board rules or regula- 
tions, or by the contract or resolution approved by the governing body of 
the participating employer and filed with the board; or 

(C) the board terminates the prefunding plan. 

(b) If participation in the prefunding plan terminates for a reason de- 
scribed in subdivision (a)(9)(A) or (B), then the assets attributable to the 
contributions by that employer shall remain in the prefunding plan for the 
continued payment of postemployment health care coverage for annu- 
itants and the costs of administration, pursuant to the terms and condi- 
tions of participation established by the board and as agreed to by the em- 
ployer. 

(c) If participation in the prefunding plan is terminated by the board 
as described in subdivision (a)(9)(C), then the assets attributable to the 
contributions by participating employers shall be paid in the following 
order: 

(1) The board shall retain for disbursement to annuitants an amount 
sufficient to pay the health care benefits to annuitants for current and fu- 



ture annuitants. 

(2) The board shall retain for payment an amount sufficient to pay rea- 
sonable administrative costs. 

(3) After the amounts described in paragraphs (1) and (2) have been 
retained or disbursed, the board shall pay to each participating employer 
in the prefunding plan on the date of termination, a pro rata share of the 
remaining assets in the prefunding plan. The board shall determine that 
pro rata share based on the ratio that the participating employer's accu- 
mulated contributions bear to the accumulated contributions of all partic- 
ipating employers. 

NOTE: Authority cited: Sections 22796 and 22922, Government Code. Reference: 
Sections 22922, 22940 and 22942, Govemment Code. 

History 

1. New section filed 1-26-2007; operative 1-26-2007 pursuant to Government 
Code section ] ] 343.4 (Register 2007, No. 4). 

§ 599.554. 

The board shall determine the amount of administrative costs and ex- 
penses of the prefunding plan to be paid to the board by each participating 
employer in accordance with the terms of the contract or resolution. 
NOTE: Authority cited: Sections 22796 and 22922, Government Code. Reference: 
Sections 22922 and 22940, Government Code. 

History 
1. New section filed 1-26-2007; operative 1-26-2007 pursuant to Government 
Code section 11343.4 (Register 2007, No. 4). 



H< * * 



Page 66.3 



Register 2007, No. 4; 1 -26-2007 



Barclays Official 

California 

Code of 
Regulations 



Title 2. Administration 

Division 1. Administrative Personnel 
Chapter 3. Department of Personnel Administration 



Vol.2 



XHOIVISOIM 

^ 

>A/EST 



Barclays Official California Code of Regulations 

425 Market Street • Fourth Floor • San Francisco, CA 94105 
800-888-3600 



Title 2 



Department of Personnel Administration 



Table of Contents 



Chapter 3. Department of Personnel Administration 



Table of Contents 



Page 



Page 



Subchapter 1 . General Civil Service 


Rules 67 


Article 1. 


Definitions 67 


§ 599.600. 


Definitions. 


§599.601. 


Act. 


§ 599.602. 


Agency. 


§ 599.603. 


Appointing Power. 


§ 599.604. 


Department. 


§ 599.605. 


Employee. 


§ 599.606. 


Director. 


§ 599.607. 


Use of Month or Calendar Month. 


§ 599.608. 


Quahfying Monthly Pay Period. 


§ 599.609. 


Qualifying Monthly Pay Period for 




Hourly and Daily Rate Employees. 


§ 599.610. 


Regulations. 


§599.611. 


Good Faith. 


§ 599.612. 


(Reserved) 


§ 599.613. 


(Reserved) 


§ 599.614. 


(Reserved) 


Article 2. 


Traveling Expenses 68 


§599.615. 


Scope. 


§599.615.1. 


Scope — Excluded Employees. 


§ 599.616. 


Definitions. 


§599.616.1. 


Definitions — Excluded Employees. 


§ 599.619. 


Reimbursement for Meals and 




Lodging — Excluded Employees. 


§ 599.620. 


Subsistence 




Allowance — Nonrepresented 




Employees, California State 




University and Colleges. 


§599.621. 


Subsistence 




Allowance — Represented 




Employees. 


§ 599.622. 


Meal Expenses — Represented 




Employees. 


§ 599.623. 


Miscellaneous Meal 




Expenses — Excluded Employees. 


§ 599.624. 


Contracting for Subsistence 




Expenses. 


§599.624.1. 


Contracting for Meals and/or 




Lodging Expenses — Excluded 




Employees. 


§ 599.625. 


Receipts or Vouchers. 


§599.625.1. 


Receipts — Excluded Employees. 


§ 599.626. 


Transportation Expenses. 


§599.626.1. 


Transportation Expenses — Excluded 




Employees. 


§ 599.627. 


Special Transportation. 


§599.627.1. 


Special Transportation — Excluded 




Employees. 


§ 599.628. 


Transportation by Aircraft. 


§599.628.1. 


Transportation by 




Aircraft — Excluded Employees. 


§ 599.629. 


Raikoad Transportation. 


§599.629.1. 


Raih-oad Transportation — Excluded 




Employees. 


§ 599.630. 


Transportation by 




Automobile — Represented 




Employees. 


§599.631. 


Transportation by Privately Owned 




Automobile — Excluded Employees. 



§ 599.632. 

§ 599.633. 
§599.633.1. 

§ 599.634. 
§ 599.635. 
§ 599.635.1. 



§ 599.636. 
§599.636.1. 

§ 599.637. 

§ 599.638. 
§599.638.1. 



Article 3. 



§ 599.640. 
§599.641. 
§ 599.642. 
§ 599.643. 
§ 599.644. 

§ 599.645. 
§599.645.1. 



§ 599.646. 



§ 599.647. 
§ 599.648. 



Transportation by Automobile — 

Nonrepresented Employees, 

California State University and 

Colleges. 

Travel Allowances While on Sick 

Leave, Vacation or Compensating 

Time Off (CTO). 

Travel Reimbursements While on 

Sick Leave, Vacation, Other Paid 

Leave, or Compensating Time Off 

(CTO) — Excluded Employees. 

Expenses of AppUcants Who Are 

Called for Interview. 

Attending Conventions, 

Conferences, or Business Meetings. 

Attending Conferences, 

Conventions — Excluded 

Employees. 

Return of Deceased Employees. 

Return of Deceased 

Employees — Excluded. 

Nonsaiaried Assistance; State 

Personnel Board. 

Expense Account Form. 

Expense Claim Form — ^Excluded 

Employees. 

Valuation of Employee 
Housing and Services 



Scope. 

Definitions. 

Monthly Rates. 

Dormitory Accommodations. 

Monthly Rental and Utility Rates — 

Nonrepresented Employees. 

Trailer and Mobile Home Charges. 

Trailer and Mobile Home Rental 

and Utility Rates — Nonrepresented 

Employees. 

Responsibility of State Agencies for 

Administering Rental Schedule for 

Employee Housing. 

Responsibility of the Department of 

Personnel Administration. 

State Policy on Possessory Interest 

Taxes. 



§ 599.649. 


Household Furnishings. 


§ 599.650. 


Laundry Service. 


§599.651. 


Dry Cleaning Service. 


§ 599.652. 


Meals at State Agencies. 


§ 599.653. 


(Reserved) 


§ 599.654. 


(Reserved) 


Article 4. 


Employee Merit Award Board 


§ 599.655. 


Definitions. 


§ 599.656. 


State Merit Award Board. 


§ 599.657. 


Merit Award Program 




Administration. 


§ 599.658. 


Eligibility for Participafion. 


§ 599.659. 


Eligibility of a Suggestion. 


§ 599.660. 


Eligibility for Awards. 


§ 599.661. 


Employee Suggestion Procedures. 


§ 599.662. 


Appeal and Reconsideration. 



84 



Page i 



(7-20-2007) 



Table of Contents 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



Page 



§ 599.663. Recommendations of Awards for 

Special Acts, Special Services, or 
Superior Accomplisliments. 

§ 599.664. Cash Awards. 



Article 5. 


Compensation 


§ 599.665. 


Attendance Records. 


§ 599.666. 


The Pay Plan. 


§ 599.666.1. 


The Pay Plan — Nonrepresented 




Employees. 


§ 599.667. 


The 10-12 Pay Plan. 


§ 599.668. 


Correction of Salary Rate. 


§ 599.669. 


Full-Time and Less Than Full-Time 




Rates. 


§ 599.670. 


Conversion of Rates. 


§ 599.671. 


Entire Compensation. 


§ 599.672. 


Duplicate Compensation Prohibited. 


§ 599.672.1. 


Duplicate Compensation 




Prohibited — Excluded Employees. 


§ 599.673. 


Entrance Rale. 


§ 599.674. 


Rate on Movement Between Classes 




with Substantially the Same Salary 




Range. 


§ 599.675. 


Rate on Movement to Class with 




Lower Salary Range. 


§ 599.676. 


Rate on Movement to Class with 




Higher Salary Range. 


§599.676.1. 


Rate on Movement to a Class with a 




Higher Salary Range — Managerial 




Employees. 


§ 599.677. 


Rate on Reappointment or 




Reinstatement After Permanent 




Separation. 


§ 599.678. 


Rate on Reappointment or 




Reinstatement After Temporary 




Separation. 


§ 599.679. 


Retention of Salary Above the 




Maximum upon Movement 




Between Classes. 


§ 599.680. 


Termination of a Salary Above the 




Maximum. 


§ 599.681. 


Movement Between Alternate 




Ranges. 


§ 599.682. 


Qualifying Service for Merit and 




Special In-Grade Salary 




Adjustment. 


§ 599.683. 


Merit Salary Adjustment. 


§ 599.684. 


Appeal from Merit Salary 




Adjustment Action. 


§ 599.685. 


Special In-Grade Salary 




Adjustment. 


§ 599.686. 


Apprenticeship Increases. 


§ 599.687. 


Effects of Breaks in State Service on 




Merit and Special In-Grade Salary 




Adjustments. 


§ 599.688. 


Effect of Reallocation of Positions. 


§ 599.689. 


Effect of Salary Range Changes. 


§ 599.690. 


Trade Rate. 


§ 599.691. 


Health and Welfare Plans. 


§ 599.692. 


(Reserved) 


§ 599.693. 


(Reserved) 


§ 599.694. 


(Reserved) 


§ 599.695. 


(Reserved) 


§ 599.696. 


(Reserved) 


§ 599.697. 


(Reserved) 


§ 599.698. 


(Reserved) 


§ 599.699. 


(Reserved) 


Article 6. 


Overtime 


§ 599.700. 


Definitions. 


§599.701. 


Work Week Group Definitions. 


§ 599.702. 


Authorization Required. 


§ 599.703. 


Work Week Group 4. 


§ 599.703.1. 


Salary Assurance — Excluded 




Employees. 


§ 599.704. 


Compensable Overtime. 


§ 599.705. 


Compensating Time Off. 



§599.705.1. 

§ 599.706. 
§ 599.707. 
§ 599.708. 
§ 599.709. 
§599.710. 
§599.711. 

§599.712. 
§599.713. 

Article 7. 

§599.714. 

§599.714.1. 

§599.715. 

§599.715.1. 

§599.716. 

§599.716.1. 

§599.717. 
§599.717.1. 

§599.718. 

§599.718.1. 

§ 599.719. 

§599.719.1. 

§ 599.720. 
§599.720.1. 

§599.721. 

§ 599.722. 

§ 599.723. 



§599.723.1. 

§ 599.723.2. 

§ 599.724. 
§599.724.1. 



Article 8. 

§ 599.725. 
§ 599.726. 
§ 599.727. 
§ 599.728. 
§ 599.729. 
§ 599.730. 
§ 599.731. 



§ 599.732. 



Page 

Compensating Time Off 

(CTO) — Excluded Employees. 

Cash Compensation. 

Transfers. 

Call Back Time. 

Minimum Work Time. 

Emergency Overtime. 

Overtime Compensation During Job 

Actions. 

(Reserved) 

(Reserved) 

Moving and Relocation 

Expenses 89 

Scope. 

Scope — Excluded Employees. 

Allowance for Miscellaneous 

Expenses. 

Reimbursement for Miscellaneous 

Expenses — Excluded Employees. 

Reimbursement for Sale of a 

Residence. 

Reimbursement for Sale of a 

Residence — Excluded Employee. 

Settlement of a Lease. 

Settlement of a Lease — Excluded 

Employee. 

Expenses for Moving Household 

Effects. 

Expenses for Moving Household 

Effects — Excluded Employees. 

Reimbursement for Moving 

Household Effects. 

Reimbursement for Moving 

Household Effects — Excluded 

Employees. 

Reimbursement for Movement of a 

Trailer Coach. 

Reimbursement for Movement of a 

Mobile Home — ^Excluded 

Employees. 

Relocation 

Allowance — Represented 

Employees. 

Relocation Subsistence 

Reimbursement and 

Mileage — ^Excluded Employees. 

Travel and Moving Expenses of 

Persons Who Change Their Place of 

Residence to Accept Employment 

with the State. 

Travel and Moving Expenses of 

Persons Who Are Required to 

Change Their Place of Residence in 

Order to Accept Employment With 

the State - Excluded Employees. 

Relocation of New 

Hire — International Trade Office 

Director — Excluded. 

Payment of Claims for Moving and 

Relocation Expenses. 

Payment of Claims for Moving and 

Relocation Expenses — Excluded 

Employees. 

Miscellaneous Reimbursement . . 92.4 
Stolen Personal Property. 
Clothing Allowances. 
Definitions. 
Requirements. 

Annual Review of Requirements. 
Employee Eligibility. 
Annual Uniform Replacement 
Allowance — Represented 
Employees. 
Part-Time Uniform 
Allowance — Represented 
Employees. 



Page 



(7-20-2007) 



Title 2 



Department of Personnel Administration 



Table of Contents 



§ 599.733. 

§ 599.734. 
§ 599.735. 

Article 9. 

§ 599.736. 
§ 599.737. 

§ 599.737.5. 

§ 599.738. 

§ 599.739. 
§599.739.1. 

§ 599.739.2. 

§ 599.740. 

§599.741. 
§ 599.742. 
§599.742.1. 

§ 599.743. 

§ 599.744. 

§599.744.1. 



Article 10. 

§ 599.745. 

§599.745.1. 
§ 599.746. 
§ 599.747. 

§ 599.748. 

§ 599.749. 
§ 599.750. 
§599.751. 

Article 10.25. 

§ 599.752. 
§599.752.1. 

§ 599.752.2. 

§ 599.752.3. 

§ 599.753. 

Article 10.5. 

§ 599.754. 

Article 11. 

§ 599.755. 
§ 599.756. 
§ 599.757. 
§ 599.758. 
§ 599.759. 
§ 599.760. 
§599.761. 
§ 599.762. 
§ 599.763. 

§ 599.764. 
§ 599.765. 



Page 

Annual Uniform Replacemeni 

Allowance — Non-Represenied 

Employees. 

Payment Date and Procedures. 

(Reserved) 

Vacations 94 

Records. 

Accumulation — Represented 

Employees. 

Voluntary Persona! Leave 

Program — ^Excluded Employees. 

Accumulation — Excluded 

Employees. 

Credit for Full-Time Employment. 

Credit for Full-Time 

Employment — ^Excluded 

Employees. 

Accrual of Vacation Credit upon 

Movement from a Represented to an 

Excluded Position. 

Credit for Less Than Full-Time 

Employment. 

Transfer of Vacation. 

Right to Vacation. 

Right to Vacation — Nonrepresented 

Employees. 

Computing State Service to Initiate 

Graduated Vacation Schedule. 

Paid Leave Buy-Back — Managerial, 

Supervisory, Confidential, 

Excluded, and Related Employees. 

Paid Leave 

Buy-Back — Supervisory, 

Confidential, Excluded, and Related 

Employees. 

Sick Leave 97 

Definitions — Represented 

Employees. 

Definitions — Excluded Employees. 

Credit for Full-Time Employment. 

Credit for Less Than Full-Time 

Employment. 

Sick Leave Credit for Prior Service 

Under Civil Service or Exempt 

Appointment. 

Evidence of Need for Sick Leave. 

Reports. 

Appeal. 

Annual Leave Program 98 

Annual Leave Program. 
Annual Paid Leave - Board and 
Commission Members. 
Absence Reports - Board and 
Commission Members. 
Lump-Sum and Partial Salary 
Payments — Board and Commission 
Members. 
Annual Leave — Enrollment. 

Holidays lOO 

Personal Holiday. 

Industrial Disability Leave lOl 

Ehgibility. 

Computation of Benefit. 

EligibiUty Period. 

Medical Eligibility DeterminaUon. 

Benefit Choice. 

Change of Benefits. 

Return to Work Coordinator. 

Offset to Other Payments. 

Guardian or Trustee for Industrial 

Disability Leave. 

Vocational Rehabilitation. 

Participafion in Vocational 

Rehabilitafion. 



Page 



§ 599.766. 
§ 599.767. 
§ 599.768. 
§ 599.769. 



Article 12. 



§ 599.770. 
§599.771. 
§ 599.772. 
§ 599.773. 
§ 599.774. 
§ 599.775. 
§ 599.776. 

§599.776.1. 

§ 599.777. 

§ 599.778. 



Article 12.5. 



§ 599.779. 
§599.779.1. 
§ 599.779.2. 

§ 599.779.3. 
§ 599.779.4. 

§ 599.779.5. 

§ 599.779.6. 
§ 599.779.7. 

Article 13. 

§ 599.780. 
§599.781. 
§ 599.782. 
§ 599.783. 
§ 599.784. 
§ 599.785. 
§ 599.785.5. 

§ 599.786. 
§ 599.787. 



§ 599.788. 
§ 599.789. 
§ 599.790. 



§ 599.791. 

§ 599.792. 
§ 599.792.5. 

§ 599.793. 
§ 599.794. 

Article 14. 

§ 599.795. 

§ 599.796. 

§599.796.1. 
§ 599.797. 
§ 599.798. 
§ 599.799. 



Placement. 

Medical Officer's Responsibilities. 

Appeals. 

Enhanced Industrial Disability 

Leave — Excluded Employees. 

Nonindustrial Disability 
Insurance 



103 



Eligibility. 

Eligibility Period. 

Calculation of Benefit. 

Investigations and Appeals. 

Cessation of Benefits. 

Return to Work. 

Nonindustrial Disability — Annual 

Leave. 

Nonindustrial Disability — Annual 

Leave — Excluded Employees. 

Exhausting of Leave 

Credits — Excluded Employees. 

Disability Benefits — Excluded 

Employees Effective January I, 

1989. 

Industrial Disability 
Retirement 



104 



Scope. 

Definitions. 

Selection of an Appropriate 

Position. 

Injured State Worker Placement. 

Employment Costs for the Injured 

Employees. 

Denial of Benefits for Failure to 

Participate. 

Post Retirement Job Opportunities. 

Appeal Rights. 

Absences 105 

Rest Periods. 

Leave of Absence. 

Termination. 

Procedure. 

Reinstatement. 

Informal Leave of Absence (Dock). 

Administrative Time Off — During 

State of Emergency. 

10-12 Leave. 

Paid Educational 

Leave — Accumulation and 

Retention. 

Paid Educational Leave — Approval. 

Paid Educational Leave — Transfer. 

Paid Educafional 

Leave — Department of Personnel 

Administradon Review. 

Paid Educational 

Leave — Determining Eligibility of 

Current Employees. 

Paid Educational Leave — Excluded 

Employees. 

Paid Educafional Leave — Senior 

Laboratory Technologists and 

Senior Radiologic Technologists. 

Reimbursable Paid Leave of 

Absence — Excluded Employees. 

Personal Leave — Excluded, Special 

Schools Employees. 

Performance 108 

Performance Appraisal of 

Probationers. 

Managerial Performance Appraisal 

System Bonuses. 

Managerial Merit Salary Increases. 

Supervisor Performance Awards. 

Performance Appraisal. 



Page iii 



(7-20-2007) 



Table of Contents 



BARCLAYS CALIFORNIA CODE OF REGULATIONS 



Title 2 



Page 



Page 



§ 599.799.1. Managerial Performance Appraisal 

and Compensation. 
§ 599.799.2. Supervisoi^ Performance Appraisal 

and Compensation. 

Article 15. Use of State-Owned Vehicles ... 

§ 599.800. Definitions. 

§ 599.801 . State-Owned Vehicles Operated in a 

Commute Program. 
§ 599.802. Misuse. 

§ 599.803. Actual Costs and Liability 

Therefore. 
§ 599.804. Determination of Misuse and Actual 

Costs. 
§ 599.805. Supplemental Determination of 

Actual Costs. Procedure for 

Supplemental Determination of 

Actual Costs. 
§ 599.806. Penalty for Misuse. 

§ 599.807. Automobile Travel Logs. 

§ 599.808. Storage of State-Owned Motor 

Vehicles. 
§ 599.809. Definition of Passenger Type Motor 

Vehicles of the Light Class. 



110 



Article 16. 


Classification 


§ 599.810. 


Out-of-Class 




Assignments — Excluded 




Employees. 


Article 17. 


Training 


§599.815. 


Purpose. 


§ 599.817. 


Definitions. 


§599.818. 


Training Policy, Plan and 




Evaluation. 


§ 599.819. 


Reimbursement for Training 




Expenses. 


§599.821. 


Training Evaluation. 


§ 599.822. 


Allocation of Resources. 


§ 599.823. 


Reimbursement for Training 




Expenses. 


§ 599.824. 


Conditions and Restricfions. 




Out-Service Training. 


Article 18. 


Separations from Service 


§ 599.825. 


Resignation from State Service. 


§ 599.826. 


Temporary and Permanent 




Separations. 


§ 599.827. 


Continuity of Intermittent 




Employment. 


§ 599.828. 


Automatic Resignation of 




Intermittent Employees. 


Article 19. 


Reduced Worktime 


§ 599.830. 


Scope of Article. 


§599.831. 


Supplemental Time Off. 


§ 599.832. 


Rights of Employees. 


§ 599.833. 


Feasibility Determination. 


§ 599.834. 


Personnel Reduction. 


§ 599.835. 


Layoff of Reduced Worktime 




Employees. 


§ 599.836. 


Return to Full-Time Work. 


§ 599.837. 


Reporting Programs. 


Article 20. 


Layoff and Demotion 


§ 599.840. 


Seniority Credit. 


§599.841. 


Service Qualifying for Seniority. 


§ 599.842. 


Credifing Services for Seniority. 


§ 599.843. 


Non-Civil-Service Employees. 


§ 599.844. 


Probationer. 


§ 599.845. 


Procedure. 


§ 599.846. 


Order of Layoff When Combined 




Scores Are Equal. 


§ 599.847. 


Order of Layoff. 


§ 599.849. 


Reemployment List Order. 


§ 599.850. 


Designation of Classes As 



114 



114 



§ 599.851. 
§ 599.852. 
§ 599.853. 

Article 20.5. 



§ 599.854. 
§599.854.1. 



§ 599.854.2. 
§ 599.854.3. 

§ 599.854.4. 

Article 21. 

§ 599.856. 
§ 599.857. 

§ 599.858. 

§ 599.859. 

Article 21.1. 

§ 599.866. 
§ 599.867. 

§ 599.868. 



(Reserved) 
(Reserved) 
(Reserved) 

State Restriction of 
Appointments 

Scope — Excluded Employees. 

State Restriction of Appointments 

Program Eligibility — Excluded 

Employees. 

State Restriction of Appointments 

Program Lists — Excluded 

Employees. 

Inquiry and Clearance of State 

Restriction of Appointments 

Program Lists — Excluded 

Employees. 

State Restriction of Appointments 

Program Exemptions — Excluded 

Employees. 

Employer-Employee Relations 
for Excluded Employees 

Definitions. 

Registration of Supervisory and 

Excluded Employee Organizations. 

Standards and 

Procedures — Excluded Employees. 

Grievance and Appeal 

Procedure — Excluded Employees. 

Bona Fide Associations 

Definitions. 

Registration of Bona Fide 

Associations. 

Removal of Bona Fide Association 

Registration. 



119 



120 



121 



115 



116 



117 



Professional, Scientific, 
Administrafive, Management or 
Executive. 



Page iv 



Article 21.5. 


Employee Activities 


.. 122 


§ 599.870. 


Incompatible Activities Statements. 




Article 22. 


Duration Service 


. . 122 


§ 599.873. 


Conditions of Employment. 




§ 599.874. 


Reports of Performance. 




§ 599.876. 


Layoff. 




§ 599.877. 


Leave of Absence. 




§ 599.878. 


(Reserved) 




§ 599.879. 


(Reserved) 




Article 23. 


General Provisions 


122.1 


§ 599.880. 


Citation of Rules. 




§599.881. 


Effect of Headings. 




§ 599.882. 


Continuing Provisions. 




§ 599.883. 


Reports. 




Article 24. 


Administration 


122.1 


§ 599.884. 


(Reserved) 




§ 599.885. 


Conflict of Interest Code. 




Appendix . , 




122.1 


§ 599.886. 


(Reserved) 




§ 599.887. 


(Reserved) 




§ 599.888. 


Notice of Hearing. 




§ 599.889. 


(Reserved) 




§ 599.890. 


(Reserved) 




§599.891. 


(Reserved) 




§ 599.892. 


(Reserved) 




Article 25. 


Hearings 


122.2 


§ 599.893. 


Scope of Article. 




§ 599.894. 


Definifions. 




§ 599.895. 


Appeal. 




§ 599.896. 


Appellant. 




§ 599.897. 


Respondent. 




§ 599.898. 


Administrative Adjudication 
Provisions. 




§ 599.903. 


Appeal Rights. 




§ 599.904. 


Time and Manner of Filing. 




§ 599.905. 


Answer. 




§ 599.906. 


Hearings and Decisions. 






(7-20-2007) 



Title 2 



Department of Personnel Administration 



Table of Contents 



Page 



Page 



• 



§ 599.907. 


Rehearing. 




§ 599.908. 


Dismissal of Appeals Not Brought 
to Hearing. 




S 599.909. 


[Reserved]. 




§ 599.910. 


Decision Becomes Final When. 




Article 25.5. 


Work and Family Benefits — 






Excluded Employees 


122.4 


§599.911. 


Family Crisis Leave. 




§ 599.912. 


Family Activity Leave. 




§ 599.913. 


Transfer of Leave Credits. 




Article 26. 


Employee Benefits — Excluded 






Employees 


122.5 


§ 599.920. 


Health Benefit 
Contributions — Excluded 
Employees. 




$ 599.920.5. 


Domestic Partner Coverage for 
Health, Dental and Vision Benefits 
— Excluded Employees. 




§ 599.920.6. 


Rural Health Care Equity Fund 
Eligibility — Excluded Employees. 




§599.921. 


Reimbursement of Bar 

Fees — Nonrepresented Employees. 




§ 599.922. 


Reimbursement of Fees for 

Professional 

Licenses — Nonrepresented 

Employees. 




§599.922.1. 


Reimbursement of Fees for 
Applicator Certificates. 




§ 599.922.2. 


Professional Society Dues License 
Fees — Nonrepresented Employees. 




§ 599.922.3. 


Certified Public 
Accountant/Certified Internal 
Auditor Professional Competency 
Bonus — Excluded Employees. 




§ 599.923. 


Bereavement Leave — Excluded 
Employees. 




§ 599.924. 


Health and Safety Incentive Award 
Programs — Excluded Employees. 




§ 599.924.5. 


Health and Welfare Agency Data 
Center Achievement Fund. 




§ 599.925. 


Catastrophic Leave — Excluded 
Employees. 




§599.925.1. 


Catastrophic Leave for Natural 
Disaster — Nonrepresented 
Employees. 




§ 599.925.5. 


Contributory Time Bank — Excluded 
Employees. 




§ 599.926. 


Class I and Class II Driver's License 
Medical Examination 
Reimbursement — Nonrepresented 
Employees. 




§ 599.927. 


Vision Care Plan — Nonrepresented 
Employees. 




§ 599.928. 


Sick Leave Restoration. 




§ 599.929. 


Increased 1959 Survivor 
Benefit — Excluded Employees. 




§ 599.930. 


Time-Off— Precinct Election 
Board — Excluded Employee. 




§599.931. 


Employee Assistance 

Program — ^Excluded Employees. 




§ 599.933. 


Items Excluded from Compensation 
for Retirement Purposes — Excluded 
Employees. 




§ 599.934. 


Holiday in Lieu — Managerial and 
Supervisory Uniformed Employees, 
California Highway Patrol. 




§ 599.935. 


Wellness Program — Excluded 
Employees. 




§ 599.936. 


Transit and Vanpool 

Incentives — Excluded Employees. 




§ 599.937. 


Personal Leave Program — ^Excluded 
Employees. 





§ 599.937.1. Salary Rate Adjustments Related to 

Personal Leave Program — Excluded 

Employees. 
§ 599.937.2. Personal Leave Credits — Excluded 

Employees. 
§ 599.937.3. Extended Personal Leave — 

Excluded Employees. 
§ 599.939. Overseas Office Directors. 

Article 27. State Deferred Compensation 

Plan 122.14 

§ 599.940. An Eligible Plan. 

§599.941. Administrative Costs. 

§ 599.942. Investments. 

§ 599.943. Contract Periods. 

Article 27.5. PST Retirement Plan 123 

§ 599.945. Enrollment. 

§599.945.1. Administration. 

§ 599.945.2. Participant Contributions and 

Benefits. 
§ 599.945.3. Withdrawal of Funds. 

Article 28. Flexible Benefits 123 

§ 599.950. Scope. 

§599.951. Enrollment. 

§ 599.952. Eligibility. 

§ 599.953. Benefits Options and Restrictions. 

§ 599.954. Change in Status Events. 

§ 599.955. Administrative Fee. 

Article 28.5. Consolidated Benefits 

Program 124 

§ 599.956. Scope. 

§ 599.957. Eligibility. 

§ 599.958. Benefit Options and Restrictions. 

§ 599.959. Changes in Status Events. 

Article 29. Substance Abuse 125 

§ 599.960. General Policy. 

§ 599.961. Sensitive Positions. 

§ 599.962. Reasonable Suspicion. 

§ 599.963. Testing Process and Standards. 

§ 599.964. Employee Rights. 

§ 599.965. Medical Review Officer. 

§ 599.966. Records; Confidentiality. 

Subchapter 2. Career Executive 

Assignment Rules 127 

Article 1. Service — General 127 

§ 599.978. Breaks in Service. 

§ 599.979. Method of Appraisal. 

§ 599.980. Leave of Absence. 

Article 2. Compensation 127 

§ 599.985. Flexibility in Form of 

Compensation. 
§ 599.986. Rate of Movement upon Promotion 

to a Career Executive Assignment 

Position. 
§ 599.987. Bonus Compensation. 

§ 599.988. Red Circle Rates. 

Article 3. Termination of Assignment 127 

§599.990. Notice of Termination. 

§ 599.991. Appeal from Termination. 

§ 599.992. Termination upon Request of 

Employee. 

§ 599.993. Reduction in Force. 

§ 599.994. Seniority Credits. 

Article 4. Separations from State 

Service 128 

§599.995. Separation of Employee. 



Page V 



(7-20-2007) 



Title 2 



Department of Personnel Administration 



§ 599.609 



• 



• 



Chapter 3. Department of Personnel 
Administration 

EDITORIAL NOTE: The Department of Personnel Administration 
(DP A) succeeded to and became vested with the authority of the State 
Personnel Board (SPB), the State Board of Control (BOC), the Depart- 
ment of General Services (DGS) atid the Department of Finance (DOF) 
with respect to the notimerit aspects of the state personnel system on May 
I, 1981. {Governor's Reorganization Plan No. 1 of 1981, Codified by 
Statutes of 198], Chap. 230.) Pursuant to Government Code Section 
19815.4(d): "All regulations relating to personnel administration here- 
tofore adopted pursucuit to this part by the State Personnel Board, State 
Board of Control, Department of General Services, and the Department 
of Finance, and in effect on the operative date of this part, slmll remain 
in effect atid shall be fidly enforceable unless and until readopted, 
amended, or repealed by the director fof DPA]. " Further, the DPA 
serves as the Governor's representative for collective bargaining and 
other labor relations purposes under the State Employer-Employee Re- 
lations Act (California Government Code Section 3512 et seq.). 

Most of the pertinent SPB, BOC, DGS and DOF regulations now ad- 
ministered by DPA pursuant to Govemmetit Code Section 19815.4(d) 
have been transferred to this chapter (Title 2, Division 1, Chapter 3); 
some have not yet been included herein. Citations for the sections not yet 
transferred are set forth in the Detailed Analysis (below) in parentheses 
following the section number reserved for the parallel DPA provisions 
which will be incorporated as appropriate at the completion of rulemak- 
ing proceedings necessitated by Government Code Sections 11340 et 
seq. 

Subchapter 1. General Civil Service Rules 



Article 1. Definitions 



§ 599.600. Definitions. 

Unless context requires otherwise, the definitions hereinafter set forth 
govern the construction of these rules. 

NOTE: Authority cited: Sections 19815.4(d) and 19816, Government Code. Refer- 
ence: Section 18520, Government Code. 

History 
1 . New Subchapter 1 heading and new Article 1 (Sections 599.600-599.61 1 ) filed 

9-6-83; effective thirtieth day thereafter (Register 83, No. 37). For prior history 

of Chapter 3, see Registers 83, No. 17 and 82, No. 42. 

CROSS REFERENCE: See Title 2, Division 1, Chapter 1, Subchapter 1 , Sections 
1-8. 

§599.601. Act. 

"Act" means Part 2.6 of Division 5 of Title 2 of the Government Code 
of the State of California. 

NOTE: Authority cited: Sections 19815.4(d) and 19816, Government Code. Refer- 
ence: Part 2.6 (commencing with Section 198 1 5), Division 5, Title 2, Government 
Code. 

§ 599.602. Agency. 

"Agency" includes "department," "board," "office," "authority," 
"commission," and every other governmental unit. 
NOTE: Authority cited: Sections 19815.4(d) and 19816, Government Code. Refer- 
ence: Section 19820, Government Code. 

§ 599.603. Appointing Power. 

"Appointing Power" means a person or group defined by statute as 
having authority to make appointments to positions in the state civil ser- 
vice. This in no way affects the delegation of authority, as defined in Sec- 
tion 7 of the Government Code. 

NOTE: Authority cited : Sections 19815 .4(d) and 1 98 1 6, Government Code. Refer- 
ence: Section 18524, Government Code. 



§ 599.604. Department. 

"Department" means the Department of Personnel Administration of 
the State of California. 

NOTE: Authority cited: Sections 19815.4(d) and 198 16, Government Code. Refer- 
ence: Section 19815(a), Government Code. 

§ 599.605. Employee. 

"Employee" includes every officer and employee subject to the Act or 
these regulations. 

NOTE: Authority cited: Sections 19815.4(d) and 198 16, Government Code, Refer- 
ence: Section 19815(d), Government Code. 

§ 599.606. Director. 

"Director" means the Director of the Department of Personnel Admin- 
istration. 

NOTE: Authority cited: Sections 1 98 1 5 .4(d) and 1 98 1 6, Government Code. Refer- 
ence: Section 19815(b), Government Code. 

§ 599.607. Use of Month or Calendar Month. 

"Month" means a calendar month unless otherwise specified. In the 
application of Government Code Sections 19856.1, 19858.1, 19859, 
19861, 19863.1, 19991.7, 19996, 19997.3 and Sections 599.737, 
599.738, 599.739, 599.740, 599.746, 599.747, 599.787, 599.791 and 
599.840 relating to the earning of sick leave, paid educational leave, va- 
cation allowances, and seniority, month or calendar month shall mean the 
monthly pay period as prescribed by the Department of Finance. 
NOTE: Authority cited: Sections 1 98 1 5.4(d) and 1 98 16, Government Code. Refer- 
ence: Section 18538.1, Government Code. 

§ 599.608. Qualifying Monthly Pay Period. 

Except as provided in Sections 599.609 and 599.776. 1(b), in the appli- 
cation of Government Code Sections 19143, 19849.9, 19856.1, 19858.1, 
19859, 19861, 19863.1, 19997.4, 599.682, 599.683, 599.685, 599.687, 
599.737, 599.738, 599.739, 599.740, 599.746, 599.747, 599.787, 
599.791, 599.840 and 599.843, an employee who has 11 or more work- 
ing days of service in a monthly pay period shall be considered to have 
a complete month, a month of service, or continuous service. In the appli- 
cation of Government Code Sect